The Evolu on of CITES

Transcription

1 The Evolu on of CITES 9 th edi on Willem Wijnstekers a publication of International Council for Game and Wildlife Conservation

2 The Evolution of CITES A reference to the Convention on International Trade in Endangered Species of Wild Fauna and Flora 9 th edition by Willem Wijnstekers Willem Wijnstekers 6, Chemin des Grenouilles Messery France CIC International Council for Game and Wildlife Conservation P.O. Box 82 H-2092 Budapest Hungary

3 ISBN: Cita on: Wijnstekers, W. (2011): The Evolu on of CITES - 9th edi on. Interna onal Council for Game and Wildlife Conserva on Published by: CIC Interna onal Council for Game and Wildlife Conserva on Address: CIC Interna onal Council for Game and Wildlife Conserva on Administra ve O ce, P.O. Box 82, H-2092 Budakeszi, Hungary Phone: , Fax: o Website: Cover photo: Willem Wijnstekers Printed in Hungary Willem Wijnstekers The geographical designa ons employed in this book do not imply the expression of any opinion whatsoever on the part of the author or the publisher concerning the legal status of any country, territory, or area, or concerning the de ni on of its fron ers or boundaries. This is a publica on of the CIC on The Evolu on of CITES and the views expressed in this publica on are those of the author and do not necessarily re ect the views of the CITES Secretariat. This publica on is intended as a general reference source. Informa on provided should be carefully evaluated for its source, accuracy, currency, completeness and relevance for your purposes, and you should obtain any appropriate professional advice relevant to your par cular circumstances. This publica on and/or opinions expressed therein do not necessarily re ect the views of the Interna onal Council for Game and Wildlife Conserva on (CIC), but remain solely those of the author. You are encouraged to check directly with the author, if you have any concerns about the informa on therein.

5 Contents 2 Re-export Article I, paragraph (d) Introduction from the sea Article I, paragraph (e) Marine environment not under the jurisdiction of any state Authorities Article I, paragraphs (f) and (g) Party Article I, paragraph (h) Chapter 6 - Listing Criteria for Appendices I and II Fundamental principles with regard to the species to be included in Appendices I and II:.. 65 Article II, paragraph Article II, paragraph The inclusion, transfer and deletion of species in Appendices I and II Trade and biological criteria remain the basis for listing species in the Appendices Look-alike species and Resolution Conf (Rev. CoP15) Look-alike listing of lynx species Consultation of range States and intergovernmental bodies The precautionary principle in Resolution Conf (Rev. CoP15) The criteria for listing Resolution Conf (Rev. CoP15) Annex 1: Biological criteria for Appendix I Annex 2 a: Criteria for the inclusion of species in Appendix II in accordance with Article II, paragraph 2 (a), of the Convention Annex 2 b: Criteria for the inclusion of species in Appendix II in accordance with Article II, paragraph 2 (b), of the Convention Annex 3: Special cases Split-listing Higher taxa Annex 4: Precautionary measures Annex 5: Definitions, explanations and guidelines Species Affected by trade Area of distribution Decline Fluctuations Fragmentation Generation length Inferred or projected Near future Population issues Population Wild population Subpopulation Population size Small wild population Very small wild subpopulation... 82

6 Preface Possibly extinct Recruitment Threatened with extinction Vulnerability Intrinsic factors Extrinsic factors Annex 6: Format for proposals to amend the Appendices The listing of hybrids in the Appendices Plants Animals Annotations in the Appendices Annotations for plants Review of annotations for Cactaceae and Orchidaceae: herbarium specimens Review of annotations for Cactaceae and Orchidaceae: evaluation of trade in finished products Orchids: annotation for species included in Appendix II Medicinal plant annotations Annotations for tree species Chapter 7 - The Development of the Listing Criteria The Bern criteria Appendix-I criteria with regard to the biological status Appendix-I criteria with regard to the trade status Appendix-II criteria with regard to the biological status Appendix-II criteria with regard to the trade status Annotations of Appendix II listings with reason for inclusion Review of the Appendices Review of animal species Review of Felidae Review of plant species Ten-year review of the Appendices Periodic Review of the Appendices Protocol for the assessment of taxa for consideration in the Periodic Review of the Appendices Reverse listing Exceptions from the Bern criteria Quota systems (also see Chapter 36) Revision of the Bern criteria Review of Resolution Conf Selection of taxa The review process Terms of reference for the review Chapter 8 - Listing Criteria for Appendix III Article II, paragraph Chapter 9 - The history of the Appendix III listing criteria Chapter 10 - Trade in specimens of Appendix-I species Article III, paragraph Export of Appendix-I specimens Article III, paragraph Article III.2, paragraph (a)

9 Contents 6 Captive-bred Appendix-I specimens Ranched specimens Quota species Universal tagging system for the identification of crocodilian skins Codes for the identification of crocodilian species Management and tracking system for tags used in the crocodilian skin trade The marking of ivory Leopard skins Specimens in travelling live animal exhibitions Personally owned live animals CITES guidelines for a universal labelling system for the trade in and identification of caviar Codes for identification of Acipenseriformes species, hybrids and mixed species Chapter 15 - Exemptions and Other Special Trade Provisions Transit and transshipment Article VII, paragraph Pre-Convention specimens Article VII, paragraph Personal effects and household goods Article VII, paragraph Definition of personal or household effect Definition of tourist souvenir Limits for rainsticks, crocodilian specimens, queen conches, sea horses and giant clams without permits Guidelines for amending the list of personal and household effects of Appendix-II species with quantitative limits Frequent trans-border movements of personally owned live animals Scientists and scientific institutions Article VII, paragraph Travelling exhibitions Article VII, paragraph The use of ATA carnets The work since CoP 12 further resulted in a new section XV of Resolution Conf (Rev. CoP15) in which it is recommended for: Sample collections covered by ATA carnets Chapter 16 - Enforcement and Compliance Measures to be taken by the Parties to enforce the Convention Article VIII, paragraph Article VIII.1, paragraph (a) Communication and reporting on cases of non-compliance Article XIII - International measures Current recommendations Compliance, control and cooperation Application of Article XIII Enforcement activities of the Secretariat

12 Preface Rules of procedure of CITES dialogue meetings Representation Meetings Chairman Vice-Chairmen Decisions Communications Final provisions Resolutions, recommendations and decisions Proposals Adoption Entry into effect The time and venue of CoPs Article XI, paragraph Rules of Procedure for meetings of the Conference of the Parties Article XI, paragraph Observers Article XI, paragraphs 6 and Chapter 22 - Financing of the Convention and the Secretariat Article XI Article XI.3, paragraph (a) The history of the Secretariat s budget The currently applicable financial and budgetary provisions Trust Fund for the Convention on International Trade in Endangered Species of Wild Fauna and Flora SCALE OF CONTRIBUTIONS FOR THE BIENNIUM (in US dollars) Terms of Reference for the Administration of the Trust Fund for the Convention on International Trade in Endangered Species of Wild Fauna and Flora Terms of Reference for the Finance and Budget Subcommittee of the CITES Standing Committee Composition of the Subcommittee Meetings and mode of operation of the Subcommittee Responsibilities of members of the Subcommittee Responsibilities of the Subcommittee Financing of the conservation of species of wild fauna and flora Approval of Externally Funded Projects Chapter 23 - Economic Incentives and Trade Policy Introduction Wildlife Trade Policy Reviews Chapter 24 - Livelihoods Chapter 25 - Committees Introduction The history of the Standing Committee

13 Contents 10 The establishment of committees Regional sessions at meetings of the Conference of the Parties Frequency and venues of meetings The Standing Committee Regional representation in the Standing Committee Standing Committee procedures Establishment of the Standing Committee of the Conference of the Parties Terms of reference for the Standing Committee The membership of the Standing Committee Current membership of the Standing Committee Standing Committee Procedures Travel expenses of members of the Standing Committee Duties of the regional representatives in the Standing Committee Template for reports of regional representatives to the Standing Committee The Clearing House of the Standing Committee Glossary of terms Clearing-house Administrative issues Operational and technical issues Policy issues Scientific issues Referral procedure The Animals Committee and the Plants Committee Terms of Reference of the Animals Committee and the Plants Committee Membership of the Animals Committee and the Plants Committee Current members of the Animals Committee Current members of the Plants Committee Duties of members of the Animals Committee and Plants Committee and their alternates Travel expenses of regional members of the Animals Committee and Plants Committee Manual for regional representatives on the Animals and Plants Committees Production costs of publications prepared by the Animals and Plants Committees Potential conflicts of interest of Animals and Plants Committee members The Identification Manual Committee of the Conference of the Parties (until 2000) The Nomenclature Committee of the Conference of the Parties (until 2004) Chapter 26 - The Secretariat Article XII, paragraph Agreement between the CITES Standing Committee and the Executive Director of UNEP. 420 Negotiation history Current Agreement Basic principles Personnel management Financial management Management review Periodic review The functions of the Secretariat Article XII, paragraph Chapter 27 - Effects of the Convention on National Legislation Stricter domestic measures

14 Preface Article XIV, paragraph Chapter 28 - Relationship with other Conventions, Treaties, Agreements and Organizations Article XIV, paragraph The International Whaling Commission Adhesion to the International Convention for the Regulation of Whaling Trade in specimens of cetaceans Trade in specimens of certain species and stocks of whales protected by the IWC from commercial whaling Illegal trade in whale meat Cooperation in monitoring illegal trade in whale parts and derivatives The Convention on Biological Diversity (CBD) The Convention on the Conservation of Migratory Species of Wild Animals, CMS The Commission for the Conservation of Antarctic Marine Living Resources International trade in toothfish Illicit trade in toothfish products Adhesion to the Convention for the Conservation of Antarctic Marine Living Resources The Food and Agriculture Organization of the United Nations (FAO) ICPO Interpol World Customs Organization The International Tropical Timber Organization (ITTO) The Biodiversity Indicators Partnership, BIP Intergovernmental Science-Policy Platform on Biodiversity and Ecosystem Services (IPBES) The Lusaka Agreement Task Force U.S. Fish And Wildlife Service Office Of Law Enforcement/Clark R. Bavin National Fish & Wildlife Forensic Laboratory TRAFFIC International Chapter 29 - Regional Trade Agreements Article XIV, paragraph Chapter 30 - Special Treatment of Marine Species Article XIV, paragraphs 4 and Law of the Sea Article XIV, paragraph Chapter 31 - Procedures for Amending the Appendices Amendments to Appendices I and II Article XV, paragraph Article XV.1, paragraph (a) Proposals Format The text of the proposed amendment Proposals for timber species Deadlines for proposals The role of the Secretariat; consultation and recommendations

15 Contents Mandate for consultations Other relevant recommendations with regard to consultations by the Secretariat Different mandates for making recommendations Adoption Article XV.1, paragraph (b) Entry into force Article XV.1, paragraph (c) Withdrawal of proposals Postal procedures Article XV, paragraph 2 (a) to (l) Proposals Consultation for marine species Consultation for other than marine species Deadline for comments by the Parties Communication of replies and Secretariat recommendations Entry into force of the amendment, unless there is an objection before the deadline An objection triggers a postal vote Deadline for voting and referral to the next CoP in case less than half of the Parties expresses themselves Majority required for adoption Entry into force of the amendment Summary of the postal procedure Reservations Article XV Amendments to Appendix III Article XVI Proposals Entry into effect; entry of reservations Withdrawal of Appendix III listings Requirement to submit applicable legislation on Appendix III species Chapter 32 - Amendments to the Convention Only at an extraordinary meeting of the Conference of the Parties Article XVII, paragraphs 1 and Entry into force Article XVII, paragraph Chapter 33 - Final Articles of the Convention Resolution of disputes Article XVIII Signature of the Convention Article XIX Ratification, acceptance and approval of the Convention Article XX Accession to the Convention Article XXI Amendment to Article XXI of the Convention Ratifications and entry into effect of the amendment The text of the amendment

16 Preface Entry into force of the Convention Article XXII The entry of reservations Article XXIII Denunciation of the Convention Article XXIV Depositary Article XXV Chapter 34 Ports of exit and entry and the transport of live specimens Designation of ports of exit and entry Article VIII, paragraph Transport of live specimens Article VIII, paragraph History of recommendations Current recommendations Chapter 35 - Captive breeding Article VII, paragraphs 4 and Definitions related to captive breeding Terminology related to captive breeding Bred in captivity Trade in specimens of Appendix-I species bred in captivity Registration of operations that breed Appendix-I animal species for commercial purposes Introduction Current provisions Bred in captivity for commercial purposes, interpretation Registration by the Secretariat Information to be provided to the Secretariat by the Management Authority on operations to be registered Procedure to be followed by the Secretariat before registering new operations Annex 3 Sample application form Relationship between the origin of founder breeding stock, commercial breeding and in situ conservation Clearing House report Benefits of from situ production Risks of from situ production Economic aspects of from situ production Chapter 36 - Quota Systems Introduction The interpretation and application of quotas for species included in Appendix I National export quotas for Appendix II species Guidelines for management of nationally established export quotas Introduction Establishment of national export quotas Communication of nationally established export quotas

17 Contents Quotas not fully utilized in a particular year Trade in hunting trophies of species listed in Appendix I Trade in leopard trophies and skins for personal use Cheetah, live specimens and hunting trophies Markhor Black rhinoceros The history of the quota system Chapter 37 - Ranching Introduction Current recommendations and provisions Definitions Proposals to transfer populations from Appendix I to Appendix II for ranching Changes to the ranching Programme described in the proposal to transfer a species from Appendix I to Appendix II Trade in ranched specimens of species transferred from Appendix I to Appendix II Monitoring and reporting in relation to species transferred from Appendix I to Appendix II for ranching Ranching and other production systems Marine turtle ranching Guidelines for evaluating marine turtle ranching proposals Guidelines for evaluating marine turtle ranching proposals submitted pursuant to Resolution Conf (Rev. CoP15) Resource management A. Biological information B. National management C. Regional management Trade controls The ranching operation Summary statement describing benefit to the population Reporting Vicuña Current annotations Chapter 38 - Sustainable Use of Biodiversity Recognition of the benefits of trade in wildlife Addis Ababa Principles and Guidelines for the Sustainable Use of Biodiversity Summary Practical Principles Recommendations of the Animals and Plants Committees concerning the Addis Ababa Principles and Guidelines for the Sustainable Use of Biodiversity Chapter 39 - Plant Trade Introduction Plant species included in the Appendices Higher taxon listings Plant parts and derivatives

18 Preface Plant species subject to significant levels of trade Artificial propagation Article VII, paragraph Definition of artificially propagated; background Current provisions Definition of artificially propagated Grafted plants Hybrids Cultivars Flasked seedlings of Appendix-I orchids Timber from monospecific plantations The use of phytosanitary certificates Facilitating annual reporting on trade in artificially propagated plants Guidelines for the registration of nurseries exporting artificially propagated specimens of Appendix-I species Role of the commercial nursery Role of the Management Authority Role of the Secretariat Source codes Enforcement of the Convention for plants Education about plant conservation Plant nomenclature Identification of plant specimens Trade in salvaged plant specimens Timber species and CITES International organizations Parts and derivatives Amendment proposals for timber species Definition of 'artificially propagated' Improvement of public understanding of the role of the Convention in the conservation of timber species Timber species of concern Establishment of export quotas for timber species Physical inspection of timber shipments Working Group on the Bigleaf Mahogany and Other Neotropical Timber Species Terms of reference Membership Timber and annual reports Agarwood Cedrela and Dalbergia action plan Harpagophytum (devil s claw) Aniba rosaeodora Bulnesia sarmientoi Plant species from Madagascar

19 Contents Chapter 40 - Nomenclature Current standard nomenclature and recommendations List of standard references adopted by the Conference of the Parties FAUNA Mammalia Aves Reptilia Amphibia Elasmobranchii, Actinopterygii and Sarcopterygii Arachnida Insecta Hirudinoidea FLORA Chapter 41 - The African Elephant A chronological summary of decisions of the Conference of the Parties in relation to the African elephant Current provisions Trade in elephant specimens Definitions Marking Control of internal ivory trade Compliance with control of internal trade Regarding monitoring of illegal hunting of and trade in elephant specimens Assistance to elephant range States Quotas for and trade in raw ivory Resources required for implementation of this Resolution Monitoring of illegal trade in ivory and other elephant specimens Introduction Scope Methods Data collection and compilation Data analysis and interpretation Reporting Intersessional remedial action Funding Monitoring of illegal hunting in elephant range States Introduction Scope and methodology Data collection, compilation and reporting Reporting Funding Internal ivory trade Action Plan for the control of trade in elephant ivory Control of internal ivory trade Compliance with control of internal trade Consideration of proposals for the transfer of African elephant populations from Appendix I to Appendix II Background Panel of Experts

22 Preface Part III Officers Rule 14 Chairmen and Vice-Chairmen Rule 15 Bureau Part IV Rules of order and debate Rule 16 Powers of Presiding Officer Rule 17 Right to speak Rule 18 Procedural motions Rule 19 Motions to open and reopen debates in plenary sessions Part V Submission of proposals and procedures for making decisions Rule 20 Submission of draft resolutions and other documents (except proposals to amend Appendices I and II) Rule 21 Procedure for deciding on draft resolutions and other documents (except proposals to amend Appendices I and II) Rule 22 Submission of proposals for amendment of Appendices I and II Rule 23 Procedure for deciding on proposals for amendment of Appendices I and II Part VI Voting Rule 24 Right to vote Rule 25 Methods of voting Rule 26 Majority Rule 27 Elections Part VII Informative documents and exhibitions Rule 28 Submission of informative documents and exhibitions Part VIII Complaints Rule 29 Complaints Part IX Amendment of the Rules of Procedure Rule 30 Amendment Annex 2 Rules of Procedure of the Standing Committee Representation and attendance Credentials Officers Meetings Communication procedure Final provisions Annex 3 Venues, Dates and Participation in Meetings of the Conference of the Parties Annex 4 The Development of the Trust Fund since Annex 5 -The Text of the Convention Preamble Article I - Definitions Article II - Fundamental principles Article III - Regulation of trade in specimens of species included in Appendix I Article IV - Regulation of trade in specimens of species included in Appendix II Article V - Regulation of trade in specimens of species included in Appendix III

26 Preface Dear reader, I started to publish the Evolution of CITES back in 1988 with the help of my great friends Brian and Gloria Davies. That was 23 years ago and, obviously, technology has changed dramatically since. The first electronic version of the Evolution of CITES came out in 2005, a year after CoP 13. Unfortunately, the software I used produced an executable file, which in many cases prevented downloading to office, library and university computers. It further did not work on the Mac operating system. Also, many people asked for a printed version, but there was no money for that. So, this time, I used the widespread.pdf file format for the electronic version and, together with the CIC International Council for Game and Wildlife Conservation, which kindly offered to co-sponsor and publish this book, we also found the money to satisfy the supporters of a paper version. We were further able to raise the funding for a translation into French and Spanish. This of course greatly enhances the global accessibility of the book for many non-native English-speakers and hopefully contributes to a better implementation of CITES worldwide. I should like to warmly thank the other co-sponsors of the book: the Ministry of Ecology, Sustainable Development, Transport and Housing of France, the CITES Management Authority of Switzerland, the Ministry of the Environment of Finland, the CITES Secretariat, the China Arts and Crafts Association, Environment Canada, the Directorate of Nature Management of Norway, the German Delegation of CIC, the Swiss Delegation of CIC and the U.S. Fish and Wildlife Service. You will have seen that I produced an extensive Table of Contents. At the end of the book, you will also find a detailed Subject Index, preceded by an Index of Valid Resolutions and an Index of Valid Decisions. In the electronic version all page numbers in the text, the Table of Contents and Indexes are hyperlinks, so in combination with the navigation options in most readers, clicking your way through the book is fast and easy. Although there are over entries in the Subject Index, there will always be words or

27 Preface expressions you will not find there. Also, words like Secretariat or Standing Committee are mentioned and 534 times respectively, so instead of automatically generating a non-hyperlinked index in Word 2010, I bookmarked the most important texts for each subject by hand, which took a lot of time, but is much more useful. If you use the electronic version, you can of course easily search a missing subject and go through all the pages where a particular subject appears. So, I hope that - in both the electronic and the paper version - readers will be able to find their way easily and quickly. On a PC or Mac, the navigation possibilities in Acrobat Reader are excellent and even better in Adobe Digital Editions. Everything also works great on my ipad, not in Apple s own ibooks application, but rather in ReaddleDocs and GoodReader, available from Apple s App Store for a couple of dollars. Both apps use the Table of Contents to navigate and have the possibility to create additional bookmarks. I recommend you do that for the indexes at the end of the book to obtain fast access to Resolutions, Decisions and the Subject Index. I tried to convert the book to the.epub,.mobi and other formats used by e-book readers such as the Barnes and Noble Nook, Amazon s Kindle and the Sony Reader, but that did not give acceptable results. If software becomes available that can handle the conversion of a more complex book like this, I will of course make these versions available as well. The articles of the Convention are printed in bold and on this background. The texts of valid Resolutions are printed on this background. Some of their Annexes, in case they are very lengthy, are just printed like this because it would make things a little bit too colorful. The texts of valid Decisions are printed on this background. My comments are like this paragraph and thus identifiable as such, which should avoid misunderstandings. Where I refer to Resolutions and Decisions that are no longer valid, their number and text are printed in grey. As CITES Secretary-General, I had no time to update the Evolution of CITES with the results of the 14th meeting of the Conference of the Parties that was held in The Hague in the first half of June Now that I retired shortly after CoP 15 of March 2010 in Doha, I did have the time to overhaul the book completely and to add more than 300 pages to it. The result is before you, on your screen or as a paper brick. I really hope this new version of the Evolution of CITES will help you with your daily task to implement and enforce the Convention, or will give you a good idea of what CITES is all about. Willem Wijnstekers Messery, France, May

28 Preface The Convention on International Trade in Endangered Species of Wild Fauna and Flora, commonly known as CITES or the Washington Convention, is often cited as one of the world s most successful multilateral environmental agreements. Its success can be attributed to many factors, including the quality of the original text adopted in Washington DC on 3 March 1973, which is focused and pragmatic, as well as the way in which Parties have enabled the Convention to evolve to meet new challenges over the past 35 years through the creative use of resolutions and decisions taken during the course of 15 meetings of the Conference of the Parties. There is a rich history associated with the adoption of many of these resolutions and decisions, and gaining an understanding of this history can help with today s implementation of the Convention, as well as contribute to its further evolution. Most recently at the 15th meeting of the Conference of the Parties, held in Doha, Qatar in March 2010, there was discussion of 70 agenda items plus 42 proposals to amend the CITES Appendices. The drama surrounding proposed species listings always attracts a lot of public attention, but away from the spotlight there were many debates and decisions taken that impact on the daily work of the Convention, keeping CITES relevant, and further enhancing its implementation effectiveness. Specialist knowledge in the workings of the Convention, both internationally and nationally, has been a critical part of the success of CITES, and it is the practitioners serving in management, scientific and enforcement authorities at national level across 175 countries, which provide the backbone of the Convention, and ensure its successful implementation. Further, the many officials who serve in partner agencies, such as the Food and Agriculture Organization of the United Nations, Interpol, the United Nations Environment Programme, and the World Customs Organization, help ensure the Convention is made operational. The CITES Secretariat itself is widely recognized for its broad depth of specialist knowledge on the Convention, and it also serves to advance the interrelationship with other conventions, processes and entities in support of the implementation of the Convention, both within and outside of the United Nations system, including with various intergovernmental bodies and major groups like the private sector, academia and nongovernmental organizations. One cannot work on CITES issues for very long before hearing references to The Evolution of CITES. Its author, Willem Wijnstekers, has kept a watchful eye on the Convention for the past 32 years from many different vantage points, including as Secretary-General for over a decade, steadfastly recording the progression of CITES decisions. He has cap- 25

29 Preface tured in great detail the development of the Convention over this time, and also offers his own personal interpretation of the Convention, as well as various resolutions, decisions and major events. The Evolution of CITES provides its readers with an annotated catalogue of CITES decision-making since the Convention entered into force in It is the most comprehensive publication available on the detailed workings of CITES and provides a valuable guide to those who are actively involved in its daily implementation, as well as the many others who have a deep interest in the critical role played by CITES in the conservation and sustainable use of biodiversity. May this book enrich your knowledge of a remarkable treaty, and help you in your daily work. John Scanlon Secretary-General of CITES 26

30 Preface The International Council for Game and Wildlife Conservation (CIC), the global authority on sustainable hunting, is most grateful to Willem Wijnstekers, for agreeing at the 15th Conference of Parties of the CITES Convention in Doha, Quatar in March 2010 to engage with the CIC in a joint project: The publication of the 9th, updated edition of the Evolution of CITES handbook of the Convention. Soon, this book will be used by each Management and Scientific Authority of the Convention Parties, by customs officers worldwide and people wishing to transport hunting trophies and other parts of wild animals across borders with the objective to conserve endangered species and to fight illegal, non sustainable depletion of wildlife. The CIC is proud of having been instrumental in making this book a reality. It is a humble contribution of the CIC towards nature and wildlife conservation, but is also makes clear the position of the CIC wishing to render undivided assistance to the implementation of the CITES Convention. The project was successful in attracting financial resources to publish the book in several languages (planned is: English, French and Spanish) and to post it on several websites. May we thank the CIC Publications Officer Aliz Ertler and the Assistant to the Director General Marietta Czine for their invaluable support in coordinating all the necessary work leading to the publication. Bernard Lozé CIC President Tamás Marghescu CIC Director General 27

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32 Preface Esko Jaakkola, the CITES Man from Finland CITES (the Convention on International Trade in Endangered Species of Wild Fauna and Flora, also known as the Washington Convention) was drafted as a result of a resolution adopted in 1963 at a meeting of members of the International Union for Conservation of Nature (IUCN). The text of the convention was agreed upon in 1973, and the CITES Convention entered into force on July 1, Finland ratifies the Convention already in 1976 and it is since then that Esko Jaakkola has been serving as the CITES management authority of Finland first as representative of the Ministry of Agriculture and Forestry and then as a representative of the Ministry of the Environment (founded in 1983). 38 years at the service of nature conservation! It must be a gratifying feeling to stop, turn around and look back in time. How many days, months and years are added up when counting the time of dealing with countless CITES documents representing real and sometimes most exciting situations of wildlife trade. Endless negotiations at CITES COPs, developing friendships with colleagues all over the world. The Ministry of the Environment of Finland has carefully planned and confidentially prepared this note in this book in order to express on behalf of all present and past colleagues its deepest gratitude to the amiable person, highly appreciated biologist, policy maker and diplomat Esko Jaakkola for his extraordinary service to Finland and the nature of the World. Thank you Esko! Photo credit: Dr. Peter Skoberne

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34 Chapter 1 - Introduction In 1960, the Seventh IUCN General Assembly urged governments to restrict the import of animals in accordance with the export regulations of the countries of origin. The feasibility thereof, however, was questionable as there was no framework enabling importing countries to become aware of such export regulations. In addition, countries adapt their regulations permanently and it would have been impossible to keep track of export restrictions in something like 190 countries and adapt import regulations accordingly. In 1963, the IUCN General Assembly passed a resolution calling for an international convention on regulations of export, transit and import of rare or threatened wildlife species or their skins and trophies. The limited scope of this resolution may be at the origin of the later title of CITES, which gives the wrong impression that the Convention only concerns endangered species. In my opinion, this really forms a psychological barrier for industries involved in the exploitation of consumer products derived from e.g. fish and timber. Most consumers will not understand that a species in Appendix II is not endangered when its products are covered by an international convention regulating world trade in endangered species. To remove this obstacle, I once suggested using a working title for the convention that was much more neutral, such as CITES, the Wildlife Trade Convention. A look at the numbers of species (including subspecies and populations) in the different Appendices clearly demonstrates my point. Appendix I Appendix II Appendix III Mammals Birds Reptiles Amphibians Fish Invertebrates FAUNA PLANTS TOTAL A first draft for a convention appeared in 1964 and at the 1969 IUCN General Assembly a list of species to be controlled was presented. A second draft was circulated in

35 Chapter 1 - Introduction In 1972, the United Nations Stockholm Conference on the Human Environment adopted Recommendation 99.3, in response to which 88 countries discussed a draft convention at a plenipotentiary conference held in Washington, DC in February/March On 3 March 1973, the Convention on International Trade in Endangered Species of Wild Fauna and Flora was signed in Washington. It entered into force after the tenth ratification, on 1 July In a number of countries it got known as the Washington Convention, but it is now generally referred to as CITES. In France, a CITES document is even referred to as "un CITES". In the Convention s Preamble, the contracting Parties to CITES recognize that the conservation of wild fauna and flora is of global importance, that the countries where they occur have the first responsibility for their protection, but also - and this is the main reason for the conclusion of the Convention: that international cooperation is essential for the protection of certain species of wild fauna and flora against over-exploitation through international trade. The importance of international cooperation is obvious as wildlife exploitation levels depend in many cases on markets elsewhere. Poaching and smuggling of animals and plants is frequently only driven by demand and prices in consumer countries. The shared responsibility of producer and consumer countries for the conservation of the world s fauna and flora therefore goes without saying. It is further physically impossible for any country to police the taking of every animal and plant and the export thereof, no matter how high the quality of its wildlife legislation and management and the level of enforcement may be. The total prevention of poaching and smuggling is impossible and measures are doomed to fail unless consumer countries complement the efforts of producer countries by also enforcing strict controls. The 1992 Rio Declaration on Environment and Development also recognizes this shared responsibility. It establishes in Principle 7 that States shall cooperate in a spirit of global partnership to conserve, protect and restore the health and integrity of the Earth s ecosystem and that, in view of the different contributions to global environmental degradation, States have common but differentiated responsibilities. A further reason for the necessity of international cooperation is the fact that we can only effectively protect wild animals and plants and take decisions on their exploitation, if any, by increasing and sharing our limited knowledge of them, their interaction and of other mechanisms affecting their conservation status. CITES establishes the necessary international legal framework for the prevention of trade in endangered species and for an effective regulation of trade in others. It gives producer and consumer countries their share of the joint responsibility and provides the necessary tools for the international cooperation that is so essential for fulfilling this responsibility. 32

36 When you compare the 1973 text of the Convention with what CITES does today, you will see that it has proven very flexible and that the Parties have been able to adapt its instruments to the ever changing circumstances and new challenges of regulating international wildlife trade. This, however, does not make understanding all the different rules, or even finding them, any easier. I therefore hope this book will guide you through the maze. 33

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38 Preface Chapter 2- Strategic Vision History In 2000, the 11th meeting of the Conference of the Parties adopted a Strategic Vision through 2005 and an Action Plan to implement it. At COP 13, with Decision 13.1 the Conference of the Parties decided: a) to extend until the end of 2007 the time validity of the Strategic Vision and its Action Plan, which were adopted with Decision 11.1 at its 11th meeting (Gigiri, 2000); b) to establish a Strategic Plan Working Group as a subcommittee of the Standing Committee, with representation from all regions and of the Animals and Plants Committees, with the task to develop, with the cooperation of the Secretariat, a proposal for a Strategic Vision and Action Plan through 2013, in particular in order to contribute to the achievement of the World Summit on Sustainable Development (WSSD) targets of significantly reducing the rate of biodiversity loss by 2010; c) to invite input from relevant intergovernmental organizations to the work of the Strategic Plan Working Group with respect to possible synergies; d) to urge all Parties and to instruct the Secretariat and the permanent Committees to evaluate their efforts in relation to the implementation of the existing Strategic Vision and Action Plan and to submit the outcome thereof to the Strategic Plan Working Group through their representatives on that working group; e) that the Strategic Plan Working Group shall submit its proposal to the Standing Committee for approval at its annual meeting prior to the deadline for the submission of proposals for consideration at the 14th meeting of the Conference of the Parties, which is to be held in 2007; and f) that the Standing Committee shall submit the proposal for a Strategic Vision and Action Plan through 2013 for adoption at the 14th meeting of the Conference of the Parties.

39 Chapter 2 Strategic Vision The resulting strategic vision, adopted by CoP 14, focuses on the following three goals: Goal 1: Ensure compliance with and implementation and enforcement of the Convention. Goal 2: Secure the necessary financial resources and means for the operation and implementation of the Convention. Goal 3: Contribute to significantly reducing the rate of biodiversity loss by ensuring that CITES and other multilateral instruments and processes are coherent and mutually supportive. Within the framework provided by each of these goals, the Strategic Vision identifies a number of objectives to be achieved. With Decision 14.1 the Standing Committee was instructed to develop corresponding indicators of progress which were to be reviewed by the Conference of the Parties. At its 58th meeting, the Standing Committee adopted these indicators. The Committee instructed its Working Group on Special Reporting Requirements to follow up on how the reporting required in these indicators would be undertaken without unduly increasing the reporting burden for the Parties. Decision (Rev. CoP15) instructs the Standing Committee, with the assistance of its Working Group on Special Reporting Requirements and the Secretariat, to: by its 61st meeting (SC61), follow up on how the reporting required in the indicators for the CITES Strategic Vision: would be undertaken and, by SC62, begin applying the indicators. I have included the indicators in the Annex of Resolution Conf below. 36 CITES Strategic Vision: RECALLING Decision 11.1, adopted at the 11th meeting of the Conference of the Parties (Gigiri, 2000), through which the Conference adopted the Strategic Vision through 2005 and the Action Plan; RECALLING Decision 13.1, adopted at the 13th meeting of the Conference of the Parties (Bangkok, 2004) through which the Conference extended to 2007 the period of validity of the Strategic Vision through 2005 and established a Strategic Plan Working Group as a subcommittee of the Standing Committee to prepare a new strategic vision for the period 2008 to 2013; RECOGNIZING, with gratitude, the work of the Strategic Plan Working Group; CONSCIOUS of the need to improve the implementation of the Convention globally;

40 Chapter II Strategic Vision CONVINCED that CITES should consider the broader international community relating to the environment and trade; REAFFIRMING the commitment of the Conference of the Parties, expressed in Decision 13.1, to contribute to the World Summit on Sustainable Development target of significantly reducing the rate of biodiversity loss by 2010; THE CONFERENCE OF THE PARTIES TO THE CONVENTION ADOPTS the CITES Strategic Vision: , annexed to this Resolution; RECOMMENDS that Parties take the necessary action at the national level to help ensure that the Goals specified in the CITES Strategic Vision: are achieved; REQUESTS the Secretariat to ensure that its programme of work for the period 2008 to 2013 supports the implementation of the CITES Strategic Vision: in the Annex; INVITES intergovernmental environmental fora, the secretariats of multilateral environmental agreements, other intergovernmental bodies and other organizations with an interest in the objectives of CITES to review their policies and their current and planned programmes and activities, with the aim of supporting achievement of the Goals specified in the CITES Strategic Vision: ; and INSTRUCTS the Standing Committee to review the progress in implementation of the CITES Strategic Vision: , and in achievement of the Objectives, at each of its ordinary meetings during the term of the Vision, and to report at the 15th and 16th meetings of the Conference of the Parties. General introduction CITES Strategic Vision: Annex The Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) was concluded on 3 March It entered into force after ratification by 10 States, on 1 July Since then, the number of countries that have ratified, approved, accepted or acceded to the Convention has continued to increase. With 172 (at the time of writing of this book 175) Parties, CITES is widely regarded as one of the most important international conservation instruments. During this period, the Conference of the Parties has shown itself to be capable of adapting to changing circumstances and, through the adoption of Resolutions and Decisions, has demonstrated an ability to construct practical solutions to increasingly complex wildlife trade and conservation problems. 37

41 Chapter 2 Strategic Vision At its ninth meeting (Fort Lauderdale, 1994), the Conference of the Parties commissioned a review of the Convention's effectiveness. The principal purposes of the review were to evaluate the extent to which the Convention had achieved its objectives and the progress made since CITES came into being and, most importantly, to identify deficiencies and requirements necessary to strengthen the Convention and help plan for the future. At its 10th meeting (Harare, 1997), the Conference agreed to an Action Plan for implementing certain findings and recommendations of the review. A central finding was the need for a strategic plan and, at its 11th meeting (Gigiri, 2000), the Conference of the Parties adopted the Strategic Vision through 2005, and an Action Plan. At its 13th meeting (Bangkok, 2004), the Conference of the Parties adopted Decision 13.1, which extended the validity of the Strategic Vision and Action Plan until the end of It also established a procedure for developing a new Strategic Vision through 2013, particularly to contribute to the achievement of the World Summit on Sustainable Development (WSSD) target of significantly reducing the rate of biodiversity loss by The present document is the result of this process. With this new Strategic Vision, the Conference of the Parties to CITES outlines the Convention s direction in the new millennium and takes into account, within the context of its mandate issues such as: contributing to the UN Millennium Development Goals relevant to CITES; contributing to the WSSD target of significantly reducing the rate of biodiversity loss by 2010; contributing to the conservation of wildlife as an integral part of the global ecosystem on which all life depends; cultural, social and economic factors at play in producer and consumer countries; promoting transparency and wider involvement of civil society in the development of conservation policies and practices; and ensuring that a coherent and internationally agreed approach based on scientific evidence is taken to address any species of wild fauna and flora subject to unsustainable international trade. Purpose The twofold purpose of the Strategic Vision is: - to improve the working of the Convention, so that international trade in wild fauna and flora is conducted at sustainable levels; and 38

42 Chapter II Strategic Vision to ensure that CITES policy developments are mutually supportive of international environmental priorities and take into account new international initiatives, consistent with the terms of the Convention. Structure In order to achieve this purpose, three broad goals, of equal priority, have been identified as the key components of the Strategic Vision: Goal 1: Ensure compliance with and implementation and enforcement of the Convention. Goal 2: Secure the necessary financial resources and means for the operation and implementation of the Convention. Goal 3: Contribute to significantly reducing the rate of biodiversity loss by ensuring that CITES and other multilateral instruments and processes are coherent and mutually supportive. The goals aim at consolidating the existing strengths of CITES, ensuring the implementation of the mandate of the Convention, and further improving the relationship with relevant multilateral environmental agreements and related conventions, agreements and associations. Within the framework provided by each of these goals, this Strategic Vision identifies a number of objectives to be achieved. Corresponding indicators of progress are to be developed by the Standing Committee and reviewed by the Conference of the Parties. This document provides a framework for the future development of the existing body of Resolutions and Decisions. While it should provide guidance on how the goals and objectives are to be achieved, the Conference of the Parties, the Committees or the Secretariat as appropriate will take required action. The document also serves the Parties as a tool for the prioritization of activities, and decisions on how best to fund them, in light of the need for the rational application of costs and the efficient and transparent use of resources. It should be noted that all references to 'trade' in the Strategic Vision refer to trade as defined in Article I of the Convention. CITES vision statement Conserve biodiversity and contribute to its sustainable use by ensuring that no species of wild fauna or flora becomes or remains subject to unsustainable exploitation through international trade, thereby contributing to the significant reduction of the rate of biodiversity loss. 39

43 The Strategic Goals Chapter 2 Strategic Vision Goal 1 Ensure compliance with and implementation and enforcement of the Convention Introduction The effectiveness of the Convention depends upon its full implementation by all Parties, whether they are consumers or producers of wild animals and plants. Full implementation relies, in turn, upon each Party s: commitment to the Convention and its principles; scientific expertise and analyses; capacity building; and enforcement. Commitment to the Convention and its principles The proper functioning of the Convention depends to a great extent on the commitment of Parties to comply with and implement the Convention and its principles. Parties cooperate in managing shared wildlife resources. Objective 1.1 Parties comply with their obligations under the Convention through appropriate policies, legislation and procedures. Indicators: The number of Parties that are in category 1 under the national legislation project The number of Parties that have designated Management Authorities and Scientific Authorities The number of Parties subject to CITES recommendations on trade. Objective 1.2 Parties have in place administrative procedures that are transparent, practical, coherent and user-friendly, and reduce unnecessary administrative burdens. Indicator: The number of Parties making use of the simplified procedures provided for in Resolution Conf (Rev. CoP15). 40

44 Chapter II Strategic Vision Objective 1.3 Implementation of the Convention at the national level is consistent with decisions adopted by the Conference of the Parties. Indicator: The number of Parties that have implemented relevant Resolutions and Decisions of the Conference of the Parties. Objective 1.4 The Appendices correctly reflect the conservation needs of species. Indicators: The number and proportion of species that have been found to meet the criteria contained in Resolution Conf or its successors. This includes both the periodic review and amendment proposals The number of unlisted species subject to significant levels of international trade, for which the trade and biological information is evaluated via a transparent mechanism including IUCN Red List and other data to identify species that would benefit from inclusion in the Appendices and the number of such species subsequently included in the Appendices. Objective 1.5 Best available scientific information is the basis for non-detriment findings. Indicators: The number of surveys undertaken by exporting countries of: a) the population status as well as the trends and impact of trade upon Appendix-II species; and b) the status of and trend in Appendix I species and the impact of any recovery plans The number of Parties that have adopted standard procedures for making nondetriment findings The number and proportion of annual export quotas based on population surveys The number of Appendix-II species for which trade is determined to be nondetrimental to the survival of the species as a result of implementing recommendations from the Review of Significant Trade. Objective 1.6 Parties cooperate in managing shared wildlife resources. Indicators: The number of bilateral and multilateral cooperative agreements that specifically provide for co-management of shared species by range states The number of cooperative management plans including recovery plans in place for shared populations of CITES listed species. 41

45 Chapter 2 Strategic Vision The number of workshops and other capacity-building activities that bring range states together to address the conservation and management needs of shared species. Objective 1.7 Parties are enforcing the Convention to reduce illegal wildlife trade. Indicators: The number of Parties that have, or are covered by: regional enforcement action plans, regional enforcement networks, national enforcement action plans, and national inter-agency enforcement coordination networks The number of Parties with designated national CITES enforcement focal points The number of Parties that have criminal law and procedures in place for investigating and penalizing CITES offences The number of Parties making use of risk assessment in order to better target their CITES enforcement effort. Objective 1.8 Parties and the Secretariat have adequate capacity-building programmes in place. Indicators: The number of Parties with national and regional training programmes and information resources in place to implement CITES including the making of nondetriment findings, issuance of permits and enforcement. Decision provides that Parties should urge regional environmental organizations to take a more active role in regional cooperation and coordination of CITES to build capacity in their region The number of training and capacity-building programmes conducted or assisted by the Secretariat The proportion of Parties having received capacity building support from the Secretariat on request. Goal 2 Secure the necessary financial resources and means for the operation and implementation of the Convention Objective 2.1 Financial resources are sufficient to ensure operation of the Convention. Indicators: The number of Parties meeting their obligations with regard to their assessed contributions to the Trust Fund. 42

46 Chapter II Strategic Vision The percentage of the work programme agreed by the Conference of the Parties that is fully funded. Objective 2.2 Sufficient resources are secured at the national/international levels to ensure compliance with and implementation and enforcement of the Convention. Indicators: The number of Parties with dedicated staff and funding for Management Authorities, Scientific Authorities and wildlife trade enforcement agencies The number of Parties that have undertaken one or more of the following activities in the past two years: increased the budget for activities hiring more staff development of implementation tools improvement of national networks purchase of technical equipment for monitoring and enforcement computerization. Objective 2.3 Sufficient resources are secured at the national/international levels to implement capacity-building programmes. Decision request Parties to provide, in accordance with national legislation, financial assistance to academic institutions offering Master s degree courses on CITES and CITES-related subjects in order to support the continuation of these courses. Indicator: The number of capacity building activities mandated by Resolutions and Decisions that are fully funded. Note from the author: The Secretariat has MO U s with two academic institutions: the University of Kent and the International University of Andalucía. The texts can be found on the Secretariat s website: and ANDALUCIA.pdf Goal 3 - Contribute to significantly reducing the rate of biodiversity loss by ensuring that CITES and other multilateral instruments and processes are coherent and mutually supportive Decision instructs the Standing Committee to review the adopted post-2010 biodiversity targets and, if necessary, make adjustments to the CITES Strategic Vision: as appropriate. 43

47 Chapter 2 Strategic Vision Objective 3.1 Cooperation between CITES and international financial mechanisms and other related institutions is enhanced in order to support CITES-related conservation and sustainable development projects, without diminishing funding for currently prioritized activities. Indicators: The number of Parties funded by international financial mechanisms and other related institutions to develop activities that include CITES-related conservation and sustainable development elements The number of international projects funded by international financial mechanisms and other related institutions that include CITES-related conservation and sustainable development elements The number of countries and institutions that have provided additional funding for conservation and sustainable development projects in order to further the objectives of the Convention. Objective 3.2 Awareness of the role and purpose of CITES is increased globally. Indicators: The number of Parties that have been involved in CITES awareness raising campaigns to bring about better accessibility to and understanding by the wider public of the Convention requirements The number of Parties that have undertaken market surveys indicating the public s understanding of the role and purpose of CITES The number of visits on the Secretariat s website The number of Parties with web pages on CITES and its requirements. Objective 3.3 Cooperation with relevant international environmental, trade and development organizations is enhanced. Indicators: The number of biodiversity conservation goals, objectives and principles of CITES and those of relevant multilateral environmental, trade and development agreements and conventions that are identified and implemented in an integrated manner The number of additional biodiversity conservation, trade and development goals, scientific and technical programmes that integrate CITES requirements agreed between environmental and trade agreements and programmes and international financial mechanisms The number of intergovernmental and non-governmental organizations participating in and/or funding CITES workshops and other training and capacity-building activities. 44

48 Chapter II Strategic Vision Objective 3.4 The contribution of CITES to the relevant Millennium Development Goals and sustainable development goals set at WSSD is strengthened by ensuring that international trade in wild fauna and flora is conducted at sustainable levels. Indicator: Improving conservation status of CITES-listed species as shown by tools such as the IUCN Red List Index. Existing indicators 1.4.1, 1.4.2, 1.5.4, 1.6.1, 1.6.2, 2.2.2, 3.3.1, 3.3.2, and are relevant to this Indicator. Objective 3.5 Parties and the Secretariat cooperate with other relevant international organizations and agreements dealing with natural resources, as appropriate, in order to achieve a coherent and collaborative approach to species which can be endangered by unsustainable trade, including those which are commercially exploited. Indicators: The number of cooperative actions taken to prevent species becoming threatened by unsustainable trade The number of times other relevant international organizations and agreements dealing with natural resources are consulted on issues relevant to species subject to unsustainable trade. 45

49 Chapter 2 Strategic Vision Diagram of the Strategic Vision The texts in the diagram have been shortened. The full texts and the indicators for the achievement of the objectives under each of the three goals can be found in the text of the Strategic Vision on the preceding pages of this Chapter. 46

50 Preface Chapter 3 - CITES in ten paragraphs CITES regulates international trade in specimens of species of wild fauna and flora, i.e., export, re-export and import of live and dead animals and plants and of parts and derivatives thereof, based on a system of permits and certificates which can only be issued if certain conditions are met and that have to be presented before consignments of specimens are allowed to leave or enter a country. Each Party must designate one or more Management Authorities responsible for issuing these permits and certificates, subject to the advice from one or more Scientific Authorities designated for that purpose. The animal and plant species subject to different degrees of regulation are listed in three appendices: Appendix I includes species threatened with extinction, for which trade must be subject to particularly strict regulation, and only authorized in exceptional circumstances. Appendix II species are not necessarily now threatened with extinction but may become so unless trade is strictly regulated. Appendix II further contains so-called look-alike species, which are controlled because of their similarity in appearance to the other regulated species, thereby facilitating a more effective control thereof. Appendix III contains species that are subject to regulation within the jurisdiction of a Party and for which the cooperation of other Parties is needed to control the trade. Conditions for the issue of permits and certificates involve questions with regard to whether or not trade as such, or a certain type of trade, will be detrimental to the survival of a species, the legal acquisition of specimens, the preparation for shipment of live specimens and, for Appendix-I species, whether the importer has suitable facilities to house and care for live specimens. Imports of Appendix-I specimens cannot take place if they are to be used for primarily commercial purposes.

51 Chapter 3 CITES in ten paragraphs The Convention provides for several conditioned exemptions from its provisions. They concern transit and transshipment, specimens acquired before the Convention became applicable to them, certain specimens that are personal or household effects, captive bred animals and artificially propagated plants, the exchange of specimens in the collection of scientists and scientific institutions and of captive bred or pre-convention specimens held by travelling exhibitions. The monitoring of trade is an essential tool for achieving the aims of the Convention. Scientific Authorities must monitor export permits granted for Appendix-II species as well as the actual export thereof and advise their Management Authorities of suitable measures to limit the issue of export permits whenever they determine that the export should be limited in order to maintain a species throughout its range at a level consistent with its role in the ecosystems in which it occurs and well above the level at which it might become eligible for inclusion in Appendix I. A second important monitoring system is based on the trade records to be kept by all Parties and to be reported to the Secretariat on an annual basis. The annual reports of all Parties together should provide statistical information on the total volume of world trade in CITES species, which is an invaluable element for the assessment of their conservation status. These reports further reflect the performance of Parties regarding CITES implementation when all reported exports and re-exports are compared with all reported imports. The required biennial reports from Parties are intended to provide information on the implementation of the Convention through legislation, enforcement action, etc. The fact that a number of countries are not a Party to the Convention is regrettable but unavoidable. The Convention tries to cope with this problem by providing that Parties shall require documentation from non-parties that substantially conforms to the requirements for CITES permits and certificates. The Convention provides for a Secretariat and a Conference of the Parties, which play a major role in the functioning of the Convention. The Conference of the Parties established a number of permanent committees, which play an important role in between its three-yearly meetings: The Standing Committee, the Animals Committee and the Plants Committee. The remaining provisions establish procedures for amending the Convention and its Appendices, address enforcement measures to be taken by the Parties, the Convention s effects on domestic legislation and on other international conventions, the resolution of disputes, ratification, accession and denunciation and allow for the entry of reservations. 48

52 Preface Chapter 4 - CITES Structure The decision-making body is the Conference of the Parties, which is established in Article XI of the Convention. See Chapter 21, page 343. The CITES Secretariat is administered by the United Nations Environment Program as laid down in Article XII.1 of the Convention. See Chapter 22, page 357. The Secretariat is located in Geneva, Switzerland. In between meetings of the Conference of the Parties, the Standing Committee oversees the implementation of the Convention. This is laid down in Resolution Conf (Rev. CoP15). For scientific issues the Conference of the Parties established an Animals Committee and a Plants Committee, also with Resolution Conf (Rev. CoP15). Details about these Committees and their membership can be found in Chapter 25, page 389.

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54 Preface Chapter 5 - Definitions in Article I The text of the Convention itself contains very few definitions; most have either been established or refined through Resolutions. This, by the way, is not only true for definitions. Since its conception, the text of the Convention has been interpreted and 'extended' through Resolutions and Decisions of the Conference of the Parties in many areas. After 35 years of existence, these 'facelifts' of the original text have held the Convention young and up to date, with better tools and adapted to the developments in wildlife trade as they took place over the years. Species, subspecies and populations Article I, paragraph (a) defines species as follows: Species means any species, subspecies, or geographically separate population thereof. The following recommendations from the Conference of the Parties are worth mentioning in this context: Rare island fauna and flora Resolution Conf. 1.6 (Rev.), in its paragraph a), addressed the special situation of rare island fauna and flora, which are often endemic taxa which may be difficult to distinguish from mainland forms and therefore often not suitable for listing in the Appendices. It urged governments with jurisdiction over rare island fauna and flora to take every opportunity to protect them and their vanishing habitats. Nomenclature A longstanding Nomenclature Committee was abolished in 2007 and its tasks transferred to the Animals and Plants Committees with Resolution Conf (Rev. CoP14). Annex 2 of Resolution CoP 11.1 (Rev. CoP15) provides that these Committees shall deal with nomenclatural issues, see Chapter 40, page 597.

55 Chapter 5 Definitions in Article I Split-listing Annex 3 to Resolution Conf (Rev. CoP15) provides, amongst other things with regard to split-listing that listing of a species in more than one Appendix should be avoided in general in view of the enforcement problems it creates. When split-listing does occur, this should generally be on the basis of national or regional populations, rather than subspecies. Split-listings that place some populations of a species in the Appendices, and the rest outside the Appendices, should normally not be permitted. For species outside the jurisdiction of any State, listing in the Appendices should use the terms used in other relevant international agreements, if any, to define the population. If no such international agreement exists, then the Appendices should define the population by region or by geographic coordinates. Taxonomic names below the species level should not be used in the Appendices unless the taxon in question is highly distinctive and the use of the name would not give rise to enforcement problems. Species and subspecies refer to the biological concept Annex 5 to Resolution Conf (Rev. CoP15) recalls that in Article I of the Convention, the term species is defined as any species, subspecies or geographically separate population thereof. It indicates that species and subspecies refer to the biological concept of a species, and do not require any further definition and that the two terms also cover varieties. Geographically separate population Annex 5 to Resolution Conf (Rev. CoP15) provides that geographically separate population refers to parts of a species or a subspecies within particular geographical boundaries. This can also refer to populations or subpopulations, or, for the sake of convenience in certain cases, to stocks as the term is understood in fisheries management. It remarks that, until now, the Conference of the Parties has interpreted geographically separate populations as populations delimited by geopolitical boundaries, whereas they have rarely used the other option of geographical boundaries. Scientific names of subspecies to be included in permits and certificates Letter e) of Annex 1 to Resolution Conf (Rev. CoP15) provides that permits and certificates should include the scientific name of the species to which the specimens belong (or the subspecies when it is relevant in order to determine in which Appendix the taxon concerned is included) in accordance with the adopted standard nomenclature. 52

56 Subspecies in the Appendices? Chapter 5 Definitions in Article 1 Resolution Conf (Rev. CoP15), like its predecessors, considers the great practical difficulties involved in recognizing many of the subspecies at present listed in the Appendices when they appear in trade and the need to weigh ease of subspecies identification against reliability of information on geographic source, for enforcement purposes. It recommends with regard to subspecies that: a) a subspecies be proposed for inclusion in the Appendices only if it is generally recognized as a valid taxon (from Resolution Conf. 2.20), and easily identifiable in the traded form; and b) where there are identification difficulties, the problem be approached by either including the entire species in Appendix I or Appendix II (from Resolution Conf. 2.20) or by circumscribing the range of the subspecies warranting protection and listing the populations within this area on a country basis. Resolution Conf also recommended that proposals for listing an entire species in Appendix I or II because of identification difficulties, indicate for the record which subspecies were considered to be under actual or potential threat, and which were proposed to be included because of the need to effectively control trade in other species or subspecies. Specimen, readily recognizable Article I, paragraph (b) defines 'specimen' as: (i) any animal or plant, whether alive or dead; (ii) in the case of an animal: for species included in Appendices I and II, any readily recognizable part or derivative thereof; and for species included in Appendix III, any readily recognizable part or derivative thereof specified in Appendix III in relation to the species, and (iii) in the case of a plant: for species included in Appendix I, any readily recognizable part or derivative thereof, and for species included in Appendices II and III, any readily recognizable part or derivative thereof specified in Appendices II and III in relation to the species. Recommendation Conf. S.S. 1.4 of the 1977 Special Working Session suggested the preparation of a minimum list of parts and derivatives to be controlled. Although the preparation of such a minimum list was discussed at the second meeting of the Conference of the Parties, the idea was dropped because of the risk that Parties might consider it as a maximum rather than as a minimum list. 53

57 Chapter 5 Definitions in Article I With Resolution Conf. 9.6 (Rev.), the Conference of the Parties agrees that the term readily recognizable part or derivative, as used in the Convention, shall be interpreted to include any specimen which appears from an accompanying document, the packaging or a mark or label, or from any other circumstances, to be a part or derivative of an animal or plant of a species included in the Appendices, unless such part or derivative is specifically exempted from the provisions of the Convention (from Resolution Conf. 5.9). This is an important recommendation, which allows enforcement authorities to intervene, for example, when being confronted with products labelled as containing rhino horn powder, but which actually contain baking soda. Resolution Conf. 9.6 (Rev.) also addresses the difficulty of trade between Parties, one of which considers the parts and derivatives concerned as not being readily recognizable. It recommends, in paragraph b), that importing Parties that require that CITES export permits or re-export certificates accompany imports of parts and derivatives do not waive that requirement when such parts and derivatives are not considered to be readily recognizable by the exporting or re-exporting Party (from Resolution Conf. 4.8). Resolution Conf. 4.8 recommended that all Parties notify the Secretariat of the controls of parts and derivatives operative under implementing legislation in their countries and requested the Secretariat to distribute to Parties a summary of such controls. That recommendation fortunately no longer exists and one can imagine the confusion that would be caused by 175 different lists of parts and derivatives that are controlled by the different Parties. Coral Also see Chapter 59. Resolution Conf. 9.6 (Rev.) recognizes that the species or genera of coral from which coral sand and coral fragments [as defined in the Annex of Resolution Conf (Rev. CoP15)] are derived cannot be readily determined and are therefore not covered by the provisions of the Convention. The definitions concerned are as follows: Coral sand material consisting entirely or in part of finely crushed fragments of dead coral no larger than 2 mm in diameter and which may also contain, amongst other things, the remains of Foraminifera, mollusc and crustacean shell, and coralline algae. Not identifiable to the level of genus. 54

58 Chapter 5 Definitions in Article 1 Coral fragments (including gravel and rubble) unconsolidated fragments of broken finger-like dead coral and other material between 2 and 30 mm measured in any direction, which is not identifiable to the level of genus. The Appendix listings for corals are further annotated to the effect that fossils are not covered by the Convention. The following specimens as defined in Resolution Conf (Rev. CoP15) are covered by the Convention: Coral rock (also live rock and substrate) hard consolidated material, >3 cm in diameter, formed of fragments of dead coral and which may also contain cemented sand, coralline algae and other sedimentary rocks. Live rock is the term given to pieces of coral rock to which are attached live specimens of invertebrate species and coralline algae not included in the CITES Appendices and which are transported moist, but not in water, in crates. Substrate is the term given to pieces of coral rock to which are attached invertebrates (of species not included in the CITES Appendices) and which are transported in water like live corals. Coral rock is not identifiable to the level of genus but is recognizable to the level of order. The definition excludes specimens defined as dead coral. A footnote clarifies, however, that rock that does not contain any corals or in which the corals are fossilized is not subject to the provisions of the Convention. Dead coral pieces of coral that are dead when exported, but that may have been alive when collected, and in which the structure of corallites (the skeleton of the individual polyp) is still intact; specimens are therefore identifiable to the level of species or genus. Live coral pieces of live coral transported in water and that are identifiable to the level of species or genus. Also see Chapter 59. Products of ranching operations Resolution Conf. 9.6 (Rev.) recommends in paragraph a) that Parties consider all products of ranching operations to be readily recognizable. 55

59 Worked ivory Chapter 5 Definitions in Article I With Resolution Conf (Rev. CoP15) the Conference of the Parties agrees that 'worked ivory' shall be considered readily recognizable and that this term shall cover all items made of ivory for jewellery, adornment, art, utility or musical instruments (but not including whole tusks in any form, except where the whole surface has been carved), provided that such items are clearly recognizable as such and in forms requiring no further carving, crafting or manufacture to effect their purpose (from Resolutions 3.13 and 6.13). Appendix-II plants and Appendix-III animals and plants In the case of Appendix-II plants and Appendix-III animals and plants, the definition of specimen in Article I (b) (ii) and (iii) provides that readily recognizable parts and derivatives are to be specified in the Appendices in relation to the species. At the ninth meeting of the Conference of the Parties it was decided (Decision 9.26) that a proposal to bring the provisions of Article XVI (listing of Appendix III parts and derivatives) in line with Convention procedures for Appendices I and II (Article XV) should be put on the agenda of the next extraordinary meeting of the Conference of the Parties, whenever this may be convened. This is now covered in Resolution Conf. 4.6 (Rev. CoP15), page 476. Summary of what specimens are covered by the Convention The following specimens are covered by the Convention as a result of Resolutions and amendments to the Interpretation of the Appendices: i) any animal or plant, whether alive or dead; ii) in the case of an animal: for species included in Appendices I, II and III, any readily recognizable part or derivative thereof, and iii) in the case of a plant: for species included in Appendix I, any readily recognizable part or derivative thereof with the exception of seedlings and tissue cultures of orchids obtained in vitro, in solid or liquid media, transported in sterile containers, and, for species included in Appendices II and III, any readily recognizable part or derivative thereof unless such parts and derivatives are specifically exempt. Particularly at CoP 13, the Conference of the Parties adopted many exemptions with regard to artificially propagated specimens of plant species. Exemptions that exclude live plants of listed species and not just parts and derivatives are, however, contrary to the provisions of Article I(b). But Resolution Conf (Rev. CoP15) provides that hybrids are covered by the provisions of the Convention unless they are excluded from CITES controls by a specific annotation in Appendix II or III. In the case of cultivars the Resolution even foresees exclusion from CITES controls through an annotation in Appendix I. The definition of species in Resolution Conf (Rev. CoP15) explicitly includes vari- 56

60 Chapter 5 Definitions in Article 1 eties but also provides that hybrids may only be specifically included in the Appendices if they form distinct and stable populations in the wild. One can only guess how well border inspection authorities are able to manage to deal with the exemptions below in practice. The annotations concern: Artificially propagated specimens of the following hybrids and/or cultivars: Hatiora x graeseri Schlumbergera x buckleyi Schlumbergera russelliana x Schlumbergera truncata Schlumbergera orssichiana x Schlumbergera truncata Schlumbergera opuntioides x Schlumbergera truncata Schlumbergera truncata (cultivars) Cactaceae spp. colour mutants grafted on the following grafting stocks: Harrisia 'Jusbertii', Hylocereus trigonus or Hylocereus undatus Opuntia microdasys (cultivars). Artificially propagated specimens of cultivars of Euphorbia trigona, artificially propagated specimens of crested, fan-shaped or colour mutants of Euphorbia lactea, when grafted on artificially propagated root stock of Euphorbia neriifolia, and artificially propagated specimens of cultivars of Euphorbia Milii when they are traded in shipments of 100 or more plants and readily recognizable as artificially propagated specimens. Artificially propagated hybrids of the following genera are not subject to the provisions of the Convention, if conditions, as indicated under a) and b), are met: Cymbidium, Dendrobium, Phalaenopsis and Vanda: a) Specimens are readily recognizable as artificially propagated and do not show any signs of having been collected in the wild such as mechanical damage or strong dehydration resulting from collection, irregular growth and heterogeneous size and shape within a taxon and shipment, algae or other epiphyllous organisms adhering to leaves, or damage by insects or other pests; and b) i) when shipped in non-flowering state, the specimens must be traded in shipments consisting of individual containers (such as cartons, boxes, crates or individual shelves of CC-containers) each containing 20 or more plants of the same hybrid; the plants within each container must exhibit a high degree of uniformity and healthiness; and the shipment must be accompanied by documentation, such as an invoice, which clearly states the number of plants of each hybrid; or ii) when shipped in flowering state, with at least one fully open flower per specimen, no minimum number of specimens per shipment is required but specimens must be professionally processed for commercial retail sale, e.g. labelled with 57

61 Chapter 5 Definitions in Article I printed labels or packaged with printed packages indicating the name of the hybrid and the country of final processing. This should be clearly visible and allow easy verification. Plants not clearly qualifying for the exemption must be accompanied by appropriate CITES documents. Artificially propagated specimens of cultivars of Cyclamen persicum except specimens traded as dormant tubers. Artificially propagated hybrids and cultivars of Taxus cuspidata, live, in pots or other small containers, each consignment being accompanied by a label or document stating the name of the taxon or taxa and the text 'artificially propagated'. The Conference of the Parties recognized the difficulties caused by the above exemptions for border inspections: Decision (Rev. CoP15) therefore instructs the Plants Committee to: a) analyze trade data and conservation status of succulent Euphorbia species (except those species currently included in Appendix I); b) prepare a revised list of succulent Euphorbia species that meet the criteria of Resolution Conf (Rev. CoP15) for inclusion in Appendix II; c) prepare proposals for consideration at the 16th meeting of the Conference of the Parties that provide for the deletion of Euphorbia species from Appendix II that do not meet the criteria of Resolution Conf (Rev. CoP15), are frequently traded and can be clearly identified by non-specialists; and d) determine the need for identification material for species retained in Appendix II. Decision provides that countries of export and import should make recommendations and prepare identification material on further exemptions for artificially propagated hybrids of Orchidaceae spp. included in Appendix II, taking into consideration the capacities of countries to implement and control such exemptions effectively. The results shall be sent to the Plants Committee, which shall evaluate them and adopt the appropriate measures. Decision (Rev. CoP15) instructs the Plants Committee to monitor and assess possible conservation problems arising from the implementation of the annotation to Orchidaceae spp. included in Appendix II and shall report on the issue at the 16th meeting of the Conference of the Parties. Trade Article I, paragraph (c) Trade means export, re-export, import and introduction from the sea. 58

62 Chapter 5 Definitions in Article 1 This definition clearly limits the scope of CITES to trade between States and excludes trade within a country from its provisions. This does not mean, however, that the Conference of the Parties cannot take decisions that affect internal trade, particularly where that is the source of illegal international trade. Where Appendix I specimens for example are freely available on markets in range states, or where importing countries have taken inadequate measures to eliminate legal commercial demand for Appendix I specimens, the Conference of the Parties should be able to take corrective measures. It has in fact done so on several occasions (e.g. in relation to caviar, ivory and tigers). Re-export Article I, paragraph (d) Re-export means export of any specimen that has previously been imported. It is important to note that the wording of this paragraph has been chosen to exclude specimens that were introduced from the sea, which implies that trade with another country of such introduced specimens is considered to be an export rather than a reexport and therefore - among other things - requires a non-detriment finding. Introduction from the sea Article I, paragraph (e) Introduction from the sea means transportation into a State of specimens of any species which were taken in the marine environment not under the jurisdiction of any State. There has been a lot of discussion about whether landing specimens in a port or rather to bring them on board of a vessel is an introduction from the sea. I have always been convinced of the first scenario. Transportation into a state is clearly something different from entering the territory of a state and I therefore believe that a specimen is introduced from the sea upon landing. That is obviously also the only feasible way to apply controls. It is difficult to imagine how CITES-controls can be implemented otherwise. If bringing a specimen on board of a vessel is introduction from the sea, then what should happen when that specimen is being transferred from one vessel to another with a different flag and on the high seas before being landed? This, as we have seen, would require a CITES export permit. The issue of port state versus flag state as the place of introduction has been addressed by a workshop on introduction from the sea since 2005, but this process has not yet led to an answer to the above question, which has gained importance since the listing of commercially important fish species is on the CITES agenda. Decision (Rev. CoP15) therefore instructs the Standing Committee to: 59

63 Chapter 5 Definitions in Article I a) extend operation of the Working Group on Introduction from the Sea, established at SC57, with the understanding that it shall continue to work primarily through electronic means, to consider a definition for transportation into a State, clarification of the term State of introduction and the process for issuing a certificate of introduction from the sea as well as other issues identified for further consideration in the final report of the CITES Workshop on Introduction from the Sea Issues (Geneva, 30 November 2 December 2005) and the final report of the meeting of the working group held in Geneva from 14 to 16 September 2009; b) include in the working group representatives of CITES authorities and fishery authorities from each of the six CITES regions and request the participation of and input from the United Nations Division for Ocean Affairs and the Law of the Sea, the Food and Agriculture Organization of the United Nations, regional fishery bodies, the fishing industry, and intergovernmental organizations and non-governmental organizations with CITES and fishery expertise; and c) ask the working group to prepare a discussion paper and draft revised resolution for consideration by the Standing Committee at its 62nd meeting and for consideration at the 16th meeting of the Conference of the Parties. Decision instructs the Secretariat to, contingent on the availability of external funding, convene two meetings of the working group before the 62nd meeting of the Standing Committee. Marine environment not under the jurisdiction of any state A further question in relation to introduction from the sea is: what is the marine environment (not) under the jurisdiction of any State? Resolution Conf (Rev. CoP12) (from Resolution Conf. 2.8) recognizes that the jurisdiction of the Parties with respect to marine resources in their adjacent seas is not uniform in extent, varies in nature and has not yet been agreed internationally. Resolution Conf (Rev. CoP15) does not provide much more clarity in agreeing that the marine environment not under the jurisdiction of any State means those marine areas beyond the areas subject to the sovereignty or sovereign rights of a State consistent with international law, as reflected in the United Nations Convention on the Law of the Sea. Obviously, the role of CITES decreases when introduction from the sea applies to specimens introduced from outside 200 miles EEZ's and increases when it applies to specimens introduced from outside a country's territorial waters. Decision directed the Standing Committee: 60

64 Chapter 5 Definitions in Article 1 a) contingent on the availability of external funding obtained in accordance with Decision 13.19, convene a workshop on introduction from the sea to consider implementation and technical issues, taking into account the two Expert Consultations of the Food and Agriculture Organization of the United Nations (FAO) on implementation and legal issues, and documents and discussions that occurred at the 11th and 13th meetings of the Conference of the Parties on these issues; b) invite the following participants to the workshop: three representatives from each CITES region to represent a Management Authority, a Scientific Authority, and a fisheries expert; two representatives from FAO; a representative from WCO; and two representatives of NGOs or IGOs with CITES and fisheries expertise; c) through its clearing-house mechanism, decide on the appropriate way to handle the logistics, agenda and reporting for the workshop and set timelines for the work to be done; d) ask the Secretariat to provide the report and recommendations from the workshop to the Parties through a notification and to FAO for consideration and comment; and e) consider the comments received on the workshop report from the Parties and FAO, and ask the Secretariat to prepare a discussion paper and draft resolution for consideration by the Standing Committee before submitting the draft resolution for consideration at the 14th meeting of the Conference of the Parties. Decision directed the Secretariat: a) as a matter of high priority, assist in obtaining funds from interested Parties, intergovernmental and non-governmental organizations, and other funding sources to support a workshop on introduction from the sea under the terms of reference set out in Decision 13.18; b) assist the Standing Committee in preparing for the workshop; and c) welcome the consultations convened by FAO and approach the FAO Secretariat concerning further collaboration on introduction from the sea. At its 53rd meeting, the Standing Committee requested its Chairman to chair the workshop. This process led to the adoption in 2007 with Resolution Conf of the agreement that the marine environment not under the jurisdiction of any State means those marine areas beyond the areas subject to the sovereignty or sovereign rights of a State consistent with international law, as reflected in the United Nations Convention on the Law of the Sea. In 2010, the fifth to the eighth preambular clauses were added to the Resolution as well as the recommendation in the second operative paragraph. 61

65 Chapter 5 Definitions in Article I Resolution Conf (Rev. CoP15) thus reads: TAKING INTO ACCOUNT the CITES Workshop on Introduction from the Sea Issues (Geneva, 30 November 2 December 2005) held pursuant to Decision of the Conference of the Parties and the meeting of the Standing Committee Working Group on Introduction from the Sea (Geneva, September 2009) held pursuant to Decision of the Conference of the Parties; RECALLING that introduction from the sea is defined in Article I, paragraph e), of the Convention as "transportation into a State of specimens of any species which were taken in the marine environment not under the jurisdiction of any State"; RECALLING ALSO that Article XIV, paragraph 6, of the Convention provides that Nothing in the present Convention shall prejudice the codification and development of the law of the sea by the United Nations Conference on the Law of the Sea"; RECALLING FURTHER that Article III, paragraph 5, and Article IV, paragraphs 6 and 7, of the Convention, provide a framework to regulate the introduction from the sea of specimens of species included in Appendices I and II, respectively; NOTING that State of introduction is not defined in the Convention and that Article III, paragraph 5, Article IV, paragraph 6, and Article XIV, paragraph 5, place certain obligations on the State of introduction; DESIRING that both flag States and port States cooperate in a manner that supports and complies with the provisions of the Convention related to introduction from the sea; DESIRING ALSO that States consult and cooperate with relevant Regional Fisheries Management Organizations when issuing certificates of introduction from the sea; NOTING the progress made through the Food and Agriculture Organization of the United Nations on measures to promote responsible fisheries, in particular, the adoption of the Agreement on Port State Measures to Prevent, Deter and Eliminate Illegal, Unreported and Unregulated Fishing; RECOGNIZING the need for a common understanding of the provisions of the Convention relating to introduction from the sea in order to facilitate the standard implementation of trade controls for specimens introduced from the sea and improve the accuracy of CITES trade data; THE CONFERENCE OF THE PARTIES TO THE CONVENTION AGREES that the marine environment not under the jurisdiction of any State means those marine areas beyond the areas subject to the sovereignty or sovereign rights of a State consistent with international law, as reflected in the United Nations Convention on the Law of the Sea; and RECOMMENDS that Parties respond in a timely manner to a request for information necessary for issuing a certificate of introduction from the sea or verifying the authenticity and validity of such a certificate. 62

66 Chapter 5 Definitions in Article 1 Article XIV.4 provides that a party to the Convention, which is also a party to another treaty, convention or international agreement which was in force at the time of the coming into force of CITES and under the provisions of which protection is afforded to marine species included in Appendix II, shall be relieved of the obligations imposed on it under the provisions of CITES with respect to trade in specimens of species included in Appendix II that are taken by ships registered in that State and in accordance with the provisions of that other treaty, convention or international agreement. The only relevant Convention that was in force at the time of the entry into force of CITES, is the International Convention on the Regulation of Whaling and thus specimens of whales caught in compliance with that Convention do not require a certificate for introduction from the sea when landed by vessels in their country of registration. As Article XIV.4 refers to 'trade' in general, the subsequent export of such specimens to another country would not require an export permit either, which raises the question of what the basis for controls by the importing country would be. Also see the provisions of Article IV, page 149, with regard to the introduction from the sea of specimens of Appendix II species. Article IV.7 provides for the issue of an annual certificate for the total number of specimens to be introduced during that year, a provision that clearly facilitates implementation. Authorities Article I, paragraphs (f) and (g) (f) Scientific Authority means a national Scientific Authority designated in accordance with Article IX; (g) Management Authority means a national Management Authority designated in accordance with Article IX. See Chapter 19, page 335. Party Article I, paragraph (h) "Party" means a State for which the present Convention has entered into force. The entry into force of the Convention is dealt with in Article XXII. The effects of specific reservations on the regulation of trade with a Party are the subject of Article XXIII (3). Also see the comments in relation to that Article in Chapter 33, page

67

68 Chapter 6 - Listing Criteria for Appendices I and II Fundamental principles with regard to the species to be included in Appendices I and II: Article II, paragraph 1 Appendix I shall include all species threatened with extinction, which are or may be affected by trade. Trade in specimens of these species must be subject to particularly strict regulation in order not to endanger further their survival and must only be authorized in exceptional circumstances; Article II, paragraph 2 Appendix II shall include: (a) all species which although not necessarily now threatened with extinction may become so unless trade in specimens of such species is subject to strict regulation in order to avoid utilization incompatible with their survival; and (b) other species which must be subject to regulation in order that trade in specimens of certain species referred to in subparagraph (a) of this paragraph may be brought under effective control. The inclusion, transfer and deletion of species in Appendices I and II This clearly is a matter of critical importance to the effectiveness and practical functioning of the Convention. Species should be listed in the Appendix that best contributes to their conservation, which makes it necessary to not only regularly review listed species as well as non-listed candidates, but also to ensure that the criteria for listing meet the highest scientific standards. Resolution Conf (Rev. CoP15) contains a comprehensive set of criteria for amendment of Appendices I and II and repeals the twelve earlier Resolutions dealing with the

69 Chapter 6 Listing Criteria for Appendices I and II inclusion and deletion of species. For an overview of the history of the listing criteria see Chapter 7, page 101. At the time of adoption of Resolution Conf. 9.24, it was recommended that the text and the annexes of the Resolution be fully reviewed before the twelfth meeting of the Conference of the Parties with regard to the scientific validity of the criteria, definitions, notes and guidelines and their applicability to different groups of organisms. At the 12th meeting of the Conference of the Parties, the results of this review were discussed. This led to the adoption of Decision which laid down the terms of reference for the review of the criteria for amendment of Appendices I and II, to be completed by the 13th meeting of the Conference of the Parties. This resulted in the adoption of a revision of Resolution Conf by CoP 13. It recalled that international trade in all wild fauna and flora is under the purview of the Convention. Trade and biological criteria remain the basis for listing species in the Appendices Resolution Conf (Rev. CoP15) recognizes that to qualify for inclusion in Appendix I a species must meet biological and trade criteria and that for the proper implementation of Article II.2.(a) it is necessary to adopt appropriate criteria, considering both biological and trade factors. Look-alike species and Resolution Conf (Rev. CoP15) Resolution Conf (Rev. CoP15) recalls that Article II.2 (b) only provides for the inclusion in Appendix II of species that must be subject to regulation in order that trade in other Appendix-II species may be brought under effective control. The Resolution considers, however, that this provision should also apply where there is a need to bring trade in specimens of species included in Appendix I under effective control. The inclusion of look-alike species in Appendix I is indeed not provided for in the text of the Convention as Article II.2 (b) only envisages the inclusion in Appendix II of look-alike species with regard to other Appendix-II species. Resolution Conf. 1.1 nevertheless provided for the inclusion in Appendix II of species similar to Appendix-I species and it is only appropriate that Resolution Conf (Rev. CoP15) continues this. Article II.2 (b) should have referred to certain species referred to in paragraph 1 and in subparagraph (a) of this paragraph. 66

70 Chapter 6 Listing Criteria for Appendices I and II Look-alike listing of lynx species Decision (Rev. CoP15) provides that the Animals Committee shall, immediately following the 13th meeting of the Conference of the Parties, include the Felidae in its Review of the Appendices. This review shall initially focus on the listing of the Lynx species complex, which includes species that are listed because of similarity of appearance, such as Lynx rufus. In addition to evaluating the listings of these species against the criteria for inclusion of species in Appendices I and II contained in Resolution Conf (Rev. CoP15), the Animals Committee shall assess the management and enforcement measures available to achieve effective control of trade in these species so as to resolve the continued need for look-alike listings. This assessment should also include a review of trade information to determine whether these species are actually confused in trade or whether the look-alike problem is merely hypothetical. The Animals Committee shall provide a report at the 16th meeting of the Conference of the Parties on the progress of the review of all Felidae and particularly on their review of Lynx spp. and look-alike issues. Consultation of range States and intergovernmental bodies Resolution Conf (Rev. CoP15) recognizes that the range States of a species subject to an amendment proposal should be consulted by the proponent, or on its behalf by the Secretariat, in accordance with the relevant Resolutions of the Conference of the Parties (i.e. Resolution Conf below) and that all Parties shall be consulted by the Secretariat in accordance with Article XV, paragraph 1 (a), of the Convention. It recognizes further that the Secretariat, in accordance with the same Article, shall consult intergovernmental bodies having a function in relation to marine species and considers that the Secretariat should also consult other intergovernmental bodies having a function in relation to any species subject to a proposal for amendment. The Resolution also emphasizes the importance of Resolution Conf. 3.4, regarding the need to provide to developing countries technical assistance in matters relating to the Convention. In Resolution Conf the Conference of the Parties notes that the provisions of the Convention do not require the prior support of range States for proposals to amend Appendices I and II, but observes that many proposals have been submitted without the comments from the range States, as provided for in Resolution Conf. 2.17, being sought. It recognizes, however, that for certain taxa with extensive distributions such consultation may be difficult. Conscious that amendments to Appendices I and II may affect the interests of range States, remarking that international treaties rely for their successful implementation upon cooperation and mutual respect and mindful that an additional period of time may be required to consult with range States, the Conference of the Parties recommends that for any submission of a proposal to amend Appendix I or II of the Convention, one of the following two procedures be applied: 67

71 Chapter 6 Listing Criteria for Appendices I and II a) where the proposing Party intends to consult the range States, it should: i) advise the Management Authorities of the range States within which the species occurs of its intention to submit a proposal; ii) consult with the Management and Scientific Authorities of these States on the substance of the proposal; and iii) include the opinions of these Authorities in section 10 of the proposal submitted in accordance with Resolution Conf (Rev. CoP15) except that, where no response has been received from a range State within a reasonable period of time, the proposing Party may instead simply document its attempts to obtain these opinions; or b) where prior consultation with range States will not take place: i) the Party should submit the proposal at least 330 days in advance of the next scheduled meeting of the Conference of the Parties; ii) the Secretariat should circulate the proposal as soon as possible to all Parties; and iii) interested Parties should send their comments to the proposing Party in order to allow it to submit a revised proposal at least 150 days prior to the meeting. The revised proposal should incorporate the comments received, in compliance with Resolution Conf (Rev. CoP15), separating them into two categories, reflecting the opinions of range States and non-range States. The Resolution recommends that for any submission of a proposal to amend Appendix I or II of the Convention, one of the consultation procedures be applied. In my view this means that proposals concerning a geographically separate population of a species should also be subject to consultation of other range states. This, however, is not always being followed. The precautionary principle in Resolution Conf (Rev. CoP15) The Resolution recognizes that by virtue of the precautionary principle, in cases of uncertainty, the Parties shall act in the best interest of the conservation of the species when considering proposals for amendment of Appendices I and II. It resolves that when considering any proposal to amend Appendix I or II, the Parties shall apply the precautionary principle so that scientific uncertainty should not be used as a reason for failing to act in the best interest of the conservation of the species. The precautionary principle was already included in the Bern criteria. It is also laid down in Principle 15 of the June 1992 Rio Declaration on Environment and Development. 68

72 Chapter 6 Listing Criteria for Appendices I and II The criteria for listing Resolution Conf (Rev. CoP15) The Conference of the Parties recognizes that to qualify for inclusion in Appendix I a species must meet biological and trade criteria and that for a proper implementation it is necessary to adopt appropriate criteria, considering both biological and trade factors. It recalls that paragraph 2 (b) of Article II provides only for the inclusion in Appendix II of species which must be subject to regulation in order that trade in specimens of certain species included in Appendix II in accordance with Article II, paragraph 2 (a), may be brought under effective control, but considers that this provision should also apply where there is a need to bring under effective control trade in specimens of species included in Appendix I. It recognizes that the range States of a species subject to an amendment proposal should be consulted by the proponent, or on its behalf by the Secretariat, in accordance with the relevant Resolutions of the Conference of the Parties, and that all Parties shall be consulted by the Secretariat in accordance with Article XV, paragraph 1 (a), of the Convention. It recognizes further that the Secretariat, in accordance with the same Article, shall consult intergovernmental bodies having a function in relation to marine species and considers that the Secretariat should also consult other intergovernmental bodies having a function in relation to any species subject to a proposal for amendment. It recalls that the international trade in all wild fauna and flora is under the purview of the Convention. It emphasizes the importance of Resolution Conf. 3.4 regarding the need to provide to developing countries technical assistance in matters relating to the Convention, and specifically in the application of the criteria for amendment of Appendices I and II. It notes the objective to ensure that decisions to amend the Convention s Appendices are founded on sound and relevant scientific information, take into account socioeconomic factors, and meet agreed biological and trade criteria for such amendments. It recognizes the importance of the application of Rio Principle 15, the Precautionary Approach, in cases of uncertainty. The Conference of the Parties adopts six Annexes as an integral part of this Resolution, see below. It resolves that, when considering proposals to amend Appendix I or II, the Parties shall, by virtue of the precautionary approach and in case of uncertainty either as regards the status of a species or the impact of trade on the conservation of a species, act in the best interest of the conservation of the species concerned and adopt measures that are proportionate to the anticipated risks to the species. 69

73 Chapter 6 Listing Criteria for Appendices I and II It resolves that, when considering proposals to amend Appendices I and II, the following applies: a) species that are or may be affected by trade should be included in Appendix I in accordance with Article II, paragraph 1, if they meet at least one of the biological criteria listed in Annex 1; b) species should be included in Appendix II under the provisions of Article II, paragraph 2 (a), if they satisfy the criteria listed in Annex 2 a; c) species should be included in Appendix II under the provisions of Article II, paragraph 2 (b), if they satisfy the criteria listed in Annex 2 b; d) no single species may be included in more than one Appendix at the same time; e) however subspecies, populations or other subcategories of a species may be included in different Appendices at the same time in accordance with the relevant criteria in Annex 3; f) higher taxa should be included in the Appendices only if they satisfy the relevant criteria in Annex 3; g) hybrids may be specifically included in the Appendices but only if they form distinct and stable populations in the wild; h) species of which all specimens in trade have been bred in captivity or artificially propagated should not be included in the Appendices if there is a negligible probability of trade taking place in specimens of wild origin; i) species included in Appendix I for which sufficient data are available to demonstrate that they do not meet the criteria listed in Annex 1 should be transferred to Appendix II only in accordance with the relevant precautionary measures listed in Annex 4; j) species included in Appendix II in accordance with Article II, paragraph 2 (a), that do not meet the criteria listed in Annex 2 a, should be deleted only in accordance with the relevant precautionary measures listed in Annex 4; and species included in accordance with Article II, paragraph 2 (b), because they look like the species subject to the deletion, or for a related reason, should also be deleted only in accordance with the relevant precautionary measures; and k) the views, if any, of intergovernmental bodies with competence for the management of the species concerned should be taken into account. It resolves that proposals to amend Appendices I and II should be based on the best information available and, when appropriate, presented in the format in Annex 6. 70

74 Chapter 6 Listing Criteria for Appendices I and II It urges Parties that are considering the submission of a proposal to amend the Appendices, in cases where there is any doubt regarding the nomenclature to follow, to consult the nomenclature specialist of the Animals Committee or the Plants Committee as early as possible in advance of submitting the proposal. It encourages proponents that submit proposals to transfer species to Appendix I, or to establish zero export quotas for species under review in accordance with the provisions of the Review of Significant Trade, to take account of the applicable findings of that review. It resolves that annotations to proposals to amend Appendix I or Appendix II should be made in accordance with the applicable Resolutions of the Conference of the Parties, be specific and accurate as to affected parts and derivatives and should, to the extent possible, be harmonized with existing annotations. It encourages Parties, when sufficient relevant biological data are available, to include a quantitative evaluation in the supporting statement of the amendment proposal. It resolves that, to monitor the effectiveness of protection offered by the Convention, the status of species included in Appendices I and II should be regularly reviewed by the range States and proponents, in collaboration with the Animals Committee or the Plants Committee, subject to the availability of funds. It urges Parties and cooperating organizations to provide financial and technical assistance, when requested, in the preparation of proposals to amend the Appendices, the development of management programs, and the review of the effectiveness of the inclusion of species in the Appendices. Parties should be open to using other available international mechanisms and instruments for these purposes in the broader context of biodiversity. The Conference of the Parties adopted the following Annexes as an integral part of Resolution Conf (Rev. CoP15): Annex 1: Biological criteria for Appendix I The following criteria must be read in conjunction with the definitions, explanations and guidelines listed in Annex 5, including the footnote with respect to application of the definition of decline for commercially exploited aquatic species. A species is considered to be threatened with extinction if it meets, or is likely to meet, at least one of the following criteria: A. The wild population is small, and is characterized by at least one of the following: i) an observed, inferred or projected decline in the number of individuals or the area and quality of habitat; or ii) each subpopulation being very small; or 71

75 Chapter 6 Listing Criteria for Appendices I and II iii) a majority of individuals being concentrated geographically during one or more life-history phases; or iv) large short-term fluctuations in population size; or v) a high vulnerability to either intrinsic or extrinsic factors. B. The wild population has a restricted area of distribution and is characterized by at least one of the following: i) fragmentation or occurrence at very few locations; or ii) large fluctuations in the area of distribution or the number of subpopulations; or iii) a high vulnerability to either intrinsic or extrinsic factors; or iv) an observed, inferred or projected decrease in any one of the following: the area of distribution; or the area of habitat; or the number of subpopulations; or the number of individuals; or the quality of habitat; or the recruitment. C. A marked decline in the population size in the wild, which has been either: i) observed as ongoing or as having occurred in the past (but with a potential to resume); or ii) inferred or projected on the basis of any one of the following: a decrease in area of habitat; or a decrease in quality of habitat; or levels or patterns of exploitation; or a high vulnerability to either intrinsic or extrinsic factors; or a decreasing recruitment. Annex 2 a: Criteria for the inclusion of species in Appendix II in accordance with Article II, paragraph 2 (a), of the Convention The following criteria must be read in conjunction with the definitions, explanations and guidelines listed in Annex 5, including the footnote with respect to application of the definition of decline for commercially exploited aquatic species. A species should be included in Appendix II when, on the basis of available trade data and information on the status and trends of the wild population(s), at least one of the following criteria is met: A. It is known, or can be inferred or projected, that the regulation of trade in the species is necessary to avoid it becoming eligible for inclusion in Appendix I in the near future; or 72

76 Chapter 6 Listing Criteria for Appendices I and II B. It is known, or can be inferred or projected, that regulation of trade in the species is required to ensure that the harvest of specimens from the wild is not reducing the wild population to a level at which its survival might be threatened by continued harvesting or other influences. Decision instructs the Secretariat to: a) prepare a report that will summarize its experience in applying criterion Annex 2 a B and the introductory text to Annex 2 a of Resolution Conf (Rev. CoP15) to some or all of the commercially exploited aquatic species that were proposed for inclusion on Appendix II at the 13th, 14th and 15th meetings of the Conference of the Parties, highlighting any technical difficulties or ambiguous issues encountered, including, where appropriate, illustrations of these matters by comparison with application of the criteria to other species; b) request IUCN/TRAFFIC and the Food and Agriculture Organization of the United Nations to each prepare a report, subject to the availability of external funding, with the same requirements as the report referred to in paragraph a) above; and c) submit its report and any received under paragraph b) above for consideration at the 25th meeting of the Animals Committee. Decision instructs the Animals Committee to: a) on receipt of any or all of the reports referred to in Decision 15.28, and having sought the participation of representative(s) of the Plants Committee, IUCN, TRAFFIC, the Food and Agriculture Organization of the United Nations and other appropriate experts, develop guidance on the application of criterion B and the introductory text of Annex 2 a of Resolution Conf (Rev. CoP15) to commercially exploited aquatic species proposed for inclusion on Appendix II; b) recommend the best way to incorporate the guidance for use when applying Resolution Conf (Rev. CoP15) to commercially exploited aquatic species, without affecting the application of Resolution Conf (Rev. CoP15) to other taxa; and c) submit its conclusions and recommendations at the 62nd meeting of the Standing Committee. Decision instructs the Standing Committee to: a) consider the report and recommendations submitted by the Animals Committee under Decision together with comments or other input that the Food and Agriculture Organization of the United Nations may wish to submit; and b) submit the Animals Committee s recommendations, together with its comments, at the 16th meeting of the Conference of the Parties. 73

77 Chapter 6 Listing Criteria for Appendices I and II Annex 2 b: Criteria for the inclusion of species in Appendix II in accordance with Article II, paragraph 2 (b), of the Convention Species may be included in Appendix II in accordance with Article II, paragraph 2 (b), if either one of the following criteria is met: A. The specimens of the species in the form in which they are traded resemble specimens of a species included in Appendix II under the provisions of Article II, paragraph 2 (a), or in Appendix I, such that enforcement officers who encounter specimens of CITES-listed species, are unlikely to be able to distinguish between them; or B. There are compelling reasons other than those given in criterion A above to ensure that effective control of trade in currently listed species is achieved. Annex 3: Special cases Split-listing Listing of a species in more than one Appendix should be avoided in general in view of the enforcement problems it creates. When split-listing does occur, this should generally be on the basis of national or regional populations, rather than subspecies. Split-listings that place some populations of a species in the Appendices, and the rest outside the Appendices, should normally not be permitted. For species outside the jurisdiction of any State, listing in the Appendices should use the terms used in other relevant international agreements, if any, to define the population. If no such international agreement exists, then the Appendices should define the population by region or by geographic coordinates. Taxonomic names below the species level should not be used in the Appendices unless the taxon in question is highly distinctive and the use of the name would not give rise to enforcement problems. Higher taxa If all species of a higher taxon are included in Appendix I or II, they should be included under the name of the higher taxon. If some species in a higher taxon are included in Appendix I or II and all the rest in the other Appendix, the latter species should be included under the name of the higher taxon, with an appropriate annotation made in accordance with the provisions of the relevant Resolutions on the use of annotations in the Appendices. Parties contemplating preparing a proposal to transfer an individual plant species from a higher-taxon listing in Appendix II to a separate listing in Appendix I should consider: 74

78 Chapter 6 Listing Criteria for Appendices I and II i) the ease with which it can be propagated artificially; ii) the extent to which it is currently available in cultivation from artificially propagated specimens; and iii) any practical problems in identifying the species, particularly in the form in which it may be traded. Annex 4: Precautionary measures When considering proposals to amend Appendix I or II, the Parties shall, by virtue of the precautionary approach and in case of uncertainty either as regards the status of a species or the impact of trade on the conservation of a species, act in the best interest of the conservation of the species concerned and adopt measures that are proportionate to the anticipated risks to the species. A. 1. No species listed in Appendix I shall be removed from the Appendices unless it has been first transferred to Appendix II, with monitoring of any impact of trade on the species for at least two intervals between meetings of the Conference of the Parties. 2. Species included in Appendix I should only be transferred to Appendix II if they do not satisfy the relevant criteria in Annex 1 and only when one of the following precautionary safeguards is met: a) the species is not in demand for international trade, nor is its transfer to Appendix II likely to stimulate trade in, or cause enforcement problems for, any other species included in Appendix I; or b) the species is likely to be in demand for trade, but its management is such that the Conference of the Parties is satisfied with: i) implementation by the range States of the requirements of the Convention, in particular Article IV; and ii) appropriate enforcement controls and compliance with the requirements of the Convention; or c) an integral part of the amendment proposal is an export quota or other special measure approved by the Conference of the Parties, based on management measures described in the supporting statement of the amendment proposal, provided that effective enforcement controls are in place; or d) a ranching proposal is submitted consistent with the applicable Resolutions of the Conference of the Parties and is approved. 75

79 Chapter 6 Listing Criteria for Appendices I and II Decision instructs the Animals Committee to: a) evaluate the merit of reinstating the ability to transfer suitably qualified populations that continue to meet the criteria in Resolution Conf (Rev. CoP15) Annex 1 from Appendix I to Appendix II pursuant to Resolution Conf (Rev. CoP15) or Resolution Conf (Rev. CoP15); and b) if merit is found, draft a revision of the terms of paragraph A. 2 in Annex 4 of Resolution Conf (Rev. CoP15) to eliminate the requirement that downlisting proposals pursuant to Resolution Conf (Rev. CoP15) or Resolution Conf (Rev. CopP15) must also meet the criteria in Annex 1 of Resolution Conf (Rev. CoP15). 3. No proposal for transfer of a species from Appendix I to Appendix II shall be considered from a Party that has entered a reservation for the species in question, unless that Party agrees to remove the reservation within 90 days of the adoption of the amendment. 4. No species should be deleted from Appendix II if such deletion would be likely to result in it qualifying for inclusion in the Appendices in the near future. 5. No species should be deleted from Appendix II if, within the last two intervals between meetings of the Conference of the Parties, it has been subject to a recommendation under the provisions of the Review of Significant Trade to improve its conservation status. B. The following review procedures shall apply when a species is transferred to Appendix II pursuant to paragraph A. 2. c) above. 1. Where the Plants Committee, the Animals Committee or a Party becomes aware of problems in compliance with the management measures and export quotas of another Party, the Secretariat shall be informed and, if the Secretariat fails to resolve the matter satisfactorily, it shall inform the Standing Committee which may, after consultation with the Party concerned, recommend to all Parties that they suspend trade with that Party in specimens of CITES-listed species, and/or request the Depositary Government to prepare a proposal to transfer the population back to Appendix I. 2. If, on review of a quota and its supporting management measures, the Animals or Plants Committee encounters any problems with compliance or potential detriment to a species, the relevant Committee shall request the Depositary Government to prepare a proposal for appropriate remedial action. 76

80 Chapter 6 Listing Criteria for Appendices I and II C. With regard to quotas established pursuant to paragraph A. 2. c) above. 1. If a Party wishes to renew, amend or delete such a quota, it shall submit an appropriate proposal for consideration at the next meeting of the Conference of the Parties. 2. When a quota has been established for a limited period of time, after that period the quota will become zero until a new quota has been established. Species that are regarded as possibly extinct should not be deleted from Appendix I if they may be affected by trade in the event of their rediscovery; these species should be annotated in the Appendices as possibly extinct. Annex 5: Definitions, explanations and guidelines Note: Where numerical guidelines are cited in this Annex, they are presented only as examples, since it is impossible to give numerical values that are applicable to all taxa because of differences in their biology. Species In Article I of the Convention, the term species is defined as any species, subspecies or geographically separate population thereof. Species and subspecies refer to the biological concept of a species, and do not require any further definition. The two terms also cover varieties. Geographically separate population refers to parts of a species or a subspecies within particular geographical boundaries. This can also refer to populations or subpopulations, or, for the sake of convenience in certain cases, to stocks as the term is understood in fisheries management. Until now, the Conference of the Parties has interpreted geographically separate populations as populations delimited by geopolitical boundaries, whereas they have rarely used the other option of geographical boundaries. Affected by trade A species "is or may be affected by trade" if: i) it is known to be in trade (using the definition of trade in Article I of the Convention), and that trade has or may have a detrimental impact on the status of the species; or 77

81 Chapter 6 Listing Criteria for Appendices I and II ii) it is suspected to be in trade, or there is demonstrable potential international demand for the species, that may be detrimental to its survival in the wild. Area of distribution The area of distribution of a species is defined as the area contained within the shortest continuous imaginary boundary which can be drawn to encompass all the known, inferred or projected sites of occurrence, excluding cases of vagrancy and introductions outside its natural range (though inferring and projecting area of occurrence should be undertaken carefully, and in a precautionary manner). The area within the imaginary boundary should, however, exclude significant areas where the species does not occur, and so, in defining an area of distribution, account should be taken of discontinuities or disjunctions in the spatial distribution of species. This encompasses the concept of area of occupancy. For migratory species, the area of distribution is the smallest area essential at any stage for the survival of that species (e.g. colonial nesting sites, feeding sites for migratory taxa, etc.). The determination that a species has a restricted area of distribution is taxon-specific and should take into account considerations such as habitat specificity, population density and endemism. Decline A decline is a reduction in the abundance, or area of distribution, or area of habitat of a species. The assessment of decline by reference to area of habitat may be more appropriate where there are intrinsic difficulties in measuring the number of individuals. Decline can be expressed in two different ways: (i) the overall long-term extent of decline; or (ii) the recent rate of decline. The long-term extent of decline is the total estimated or inferred percentage reduction from a baseline level of abundance or area of distribution. The recent rate of decline is the percentage change in abundance or area of distribution over a recent time period. The data used to estimate or infer a baseline for extent of decline should extend as far back into the past as possible. The judgment that a decline is marked is taxon-specific and can be justified by a number of considerations for example, the population dynamics of a related taxonomic group. A general guideline for a marked historical extent of decline is a percentage decline to 5%- 30% of the baseline, depending on the biology and productivity of the species. Productivity is the maximum percentage growth rate of a population. It is a complex function of reproductive biology, fecundity, individual growth rates, natural mortality, age at maturity and longevity. More-productive species tend to have high fecundity, rapid individual growth rates and high turnover of generations. The extremes of 5% and 30% will be applicable to only a relatively small number of species, but some species may even fall outside of these extremes. However, both these figures are presented only as examples, since it is impossible to give numerical values 78

82 Chapter 6 Listing Criteria for Appendices I and II that are applicable to all taxa because of differences in their biology (see footnote with respect to application of decline to commercially exploited aquatic species). A general guideline for a marked recent rate of decline is a percentage decline of 50% or more in the last 10 years or three generations, whichever is the longer. If the population is small, a percentage decline of 20% or more in the last 5 years or 2 generations (whichever is the longer) may be more appropriate. However, these figures are presented only as examples, since it is impossible to give numerical values that are applicable to all taxa because of differences in their biology. The historical extent of decline and the recent rate of decline should be considered in conjunction with one another. In general, the higher the historical extent of decline, and the lower the productivity of the species, the more important a given recent rate of decline is. In estimating or inferring the historical extent of decline or the recent rate of decline, all relevant data should be taken into account. A decline need not necessarily be ongoing. If data are available only for a short period and the extent or rate of decline based on these data are cause for concern, the guidelines above (extrapolated as necessary or relevant) should still apply. However, natural fluctuations should not normally count as part of a decline, but an observed decline should not necessarily be considered part of a natural fluctuation unless there is evidence for this. A decline that is the result of legal activities carried out pursuant to a scientifically based harvesting Programme that reduces the population to a planned level, not detrimental to the survival of the species, would not normally be covered by the term decline. Annex 5 contains a footnote about the application of decline for commercially exploited aquatic marine species, which provides that in marine and large freshwater bodies, a narrower range of 5-20% is deemed to be more appropriate in most cases, with a range of 5-10% being applicable for species with high productivity, 10-15% for species with medium productivity and 15-20% for species with low productivity. Nevertheless some species may fall outside this range. Low productivity is correlated with low mortality rate and high productivity with high mortality. One possible guideline for indexing productivity is the natural mortality rate, with the range per year indicating medium productivity. In general, historical extent of decline should be the primary criterion for consideration of listing in Appendix I. However, in circumstances where information to estimate extent-of-decline is limited, rate-of-decline over a recent period could itself still provide some information on extent-of-decline. For listing in Appendix II, the historical extent of decline and the recent rate of decline should be considered in conjunction with one another. The higher the historical extent of decline, and the lower the productivity of the species, the more important a given recent rate of decline is. A general guideline for a marked recent rate of decline is the rate of decline that would drive a population down within approximately a 10-year period from the current population level to the historical extent of decline guideline (i.e. 5-20% of baseline for exploited fish species). There should rarely be a need for concern for populations that have exhibited an historical extent of decline of less than 50%, unless the recent rate of decline has been extremely high. Even if a population is not declining appreciably, it could be considered for listing in Appendix II if it is near the extent-of-decline guidelines recommended above 79

83 Chapter 6 Listing Criteria for Appendices I and II for consideration for Appendix-I-listing. A range of between 5% and 10% above the relevant extent-of-decline might be considered as a definition of near, taking due account of the productivity of the species. A recent rate-of-decline is important only if it is still occurring, or may resume, and is projected to lead to the species reaching the applicable point for that species in the Appendix-I extent-of-decline guidelines within approximately a 10-year period. Otherwise the overall extent-of-decline is what is important. When sufficient data are available, the recent rate-of-decline should be calculated over approximately a 10-year period. If fewer data are available, annual rates over a shorter period could be used. If there is evidence of a change in the trend, greater weight should be given to the more recent consistent trend. In most cases, listing would only be considered if the decline were projected to continue. In considering the percentages indicated above, account needs to be taken of taxon- and case-specific biological and other factors that are likely to affect extinction risk. Depending on the biology, patterns of exploitation and area of distribution of the taxon, vulnerability factors (as listed in this Annex) may increase this risk, whereas mitigating factors (e.g. large absolute numbers or refugia) may reduce it. Fluctuations Fluctuations in population size or area of distribution are considered large when the population size or area in question varies widely, rapidly or frequently. The judgment that there are large short-term fluctuations in the number of individuals is taxonspecific. For instance, it depends on the generation length of the taxon. Fragmentation Fragmentation refers to the case where most individuals within a taxon are found in small and relatively isolated subpopulations, which increases the probability that these small subpopulations will become extinct and the opportunities for re-establishment are limited. Generation length Generation length is the average age of parents of the current cohort (i.e. newborn individuals in the population). Generation length therefore reflects the turnover rate of breeding individuals in a population. Generation length is greater than the age at first breeding and less than the age of the oldest breeding individual, except in taxa that breed only once. Where generation length varies under threat, the more natural (i.e. pre-disturbance) generation length should be used. Inferred or projected This refers to estimations using indirect or direct methods. Inferences may be made on the basis either of direct measurements or from indirect evidence. Projection involves extrapolation to infer likely future values. 80

84 Near future Chapter 6 Listing Criteria for Appendices I and II This refers to a time period in which it can be projected or inferred that a species would satisfy one (or more) of the criteria in Annex I unless it is included in Appendix II. This will be taxon- and case-specific but should be greater than 5 years and less than 10 years. Population issues Population Population refers to the total number of individuals of the species (as species is defined in Article I of the Convention and in this Annex). Wild population Wild population refers to the total number of free-living individuals of the species within its area of distribution, as defined in this Annex. Subpopulation Subpopulations are defined as geographically or otherwise distinct groups in the population between which there is limited genetic exchange. Population size When providing details on the size of a population or subpopulation, it should be made clear whether the information presented relates to an estimate of the total number of individuals or to the effective population size (i.e. individuals capable of reproduction, excluding individuals that are environmentally and behaviorally or otherwise reproductively suppressed in the wild) or to another appropriate measure, index or component of the population. In the case of species biologically dependent on other species for all or part of their life cycles, biologically appropriate values for the host or co-dependent species should be chosen. Small wild population The judgment that a wild population is small is taxon-specific and can be justified by a number of considerations. For example, the population of a related taxonomic group. For some low-productivity species where data exist to make an estimate, a figure of less than 5,000 individuals has been found to be an appropriate guideline (not a threshold) of what constitutes a small wild population but the number could be higher for higher productivity species. However, this figure is presented only as an example, since it is im- 81

85 Chapter 6 Listing Criteria for Appendices I and II possible to give numerical values that are applicable to all taxa. There will be many cases where this numerical guideline does not apply. Very small wild subpopulation The judgment that a wild subpopulation is very small is taxon-specific. For some species where data exist to make an estimate, a figure of less than 500 individuals has been found to be an appropriate guideline (not a threshold) of what constitutes a very small wild subpopulation. However, this figure is presented only as an example, since it is impossible to give numerical values that are applicable to all taxa. There will be many cases where this numerical guideline does not apply. Possibly extinct A species is possibly extinct when exhaustive surveys in known and/or suspected habitat, and at appropriate times (diurnal, seasonal, annual), throughout its historic range have failed to record an individual. Before a species can be declared possibly extinct, surveys should take place over a time-frame appropriate to the species' life cycle and life form. Recruitment Recruitment is the total number of individuals added to any particular demographic class of a population by either sexual or asexual reproduction. Threatened with extinction Threatened with extinction is defined by Annex 1. The vulnerability of a species to threats of extinction depends on its population demographics, biological characteristics (such as body size, trophic level, life cycle, breeding structure or social structure requirements for successful reproduction), and vulnerability due to aggregating habits, natural fluctuations in population size, and/or residency/migratory patterns. This makes it impossible to give numerical threshold values for population size or area of distribution that are applicable to all taxa. Vulnerability Vulnerability can be defined as the susceptibility to intrinsic or external effects which increase the risk of extinction (even when mitigating factors are taken into account). There are a number of taxon- or case-specific biological and other factors that may affect the extinction risk associated with a given percentage decline, small population size or restricted area of distribution. These can be, but are not limited to, aspects of any of the following: 82

86 Intrinsic factors Chapter 6 Listing Criteria for Appendices I and II Life history (e.g. low fecundity, slow growth rate of the individual, high age at first maturity, long generation time) Low absolute numbers or biomass or restricted area of distribution Population structure (age/size structure, sex ratio) Behavioral factors (e.g. social structure, migration, aggregating behavior) Density (for sessile or semi-sessile species) Specialized niche requirements (e.g. diet, habitat) Species associations such as symbiosis and other forms of co-dependency Reduced genetic diversity Depensation (prone to continuing decline even in the absence of exploitation) Endemism Seed dispersal mechanism Specialized pollinators Extrinsic factors Selectivity of removals (that may compromise recruitment) Threats from alien invasive species (hybridization, disease transmission, depredation, etc.) Habitat degradation (contamination, soil erosion, alteration by alien invasive species, etc.) Habitat loss/destruction Habitat fragmentation Harsh environmental conditions Threats from disease Rapid environmental change (e.g. climate regime shifts) Stochastic events. Annex 6: Format for proposals to amend the Appendices The following provides information and instructions for the submission of a proposal to amend the Appendices and the appropriate supporting statement. Proponents should be guided by the need to provide to the Conference of the Parties sufficient information, of sufficient quality and in sufficient detail, to allow it to judge the proposal against the criteria established for the proposed action. This means that the relevant published and unpublished sources of information should be used, although for some species the amount of scientific information will be limited. Analogy with related taxonomic groups or species that are ecologically similar may be used to guide judgments. Where research has been undertaken specifically to obtain information for the proposal, it should be presented in sufficient detail to be assessed by the Parties. Parties are reminded that proposals should normally be limited to 12 pages (exclusive of references cited). If the proposal is longer than 12 pages, the proponent should provide translations into the working languages of the Convention. Furthermore, this means that it may not be possible to address all elements of the proposal format. 83

87 Chapter 6 Listing Criteria for Appendices I and II A. Proposal The proponent should indicate one of the following specific amendments to the Appendices and any relevant annotations or qualifications. The proponent should justify the basis on which the species meets the relevant criteria. Inclusion in Appendix I or transfer from Appendix II to Appendix I. 84 Specify which of the criteria in Annex 1 of the Resolution are satisfied. Inclusion in Appendix II in accordance with Article II 2 (a). Specify which of the criteria in Annex 2 a of the Resolution are satisfied. Inclusion in Appendix II accordance with Article II 2 (b) for reasons of look-alike problems (criterion A of Annex 2 b). In this case, the names of the similar species already included in the Appendices should be given in section C11, Additional remarks. Inclusion in Appendix II accordance with Article II 2 (b) for other reasons (such as those referred to in Annex 2 b, criterion B and/or Annex 3 to this Resolution). Transfer from Appendix I to Appendix II in accordance with a precautionary measure specified in Annex 4 to this Resolution. Specify which of the criteria in Annex 2 of this Resolution are satisfied; specify why the criteria in Annex 1 of this Resolution are no longer satisfied; specify which of the measures in Annex 4 of this Resolution are satisfied or implemented. Deletion from Appendix II. Specify why the criteria in Annex 2 of this Resolution are not satisfied. Other action. Provide explanation, e.g. amendment of a quota. Annotations If a specific annotation to the listing in the Appendices is proposed, the proponent should: ensure that the proposed annotation is in compliance with the applicable Resolution; indicate the practical intent of the annotation; harmonize new annotations with existing annotations; and be specific and accurate as to affected parts and derivatives.

88 Chapter 6 Listing Criteria for Appendices I and II B. Proponent The proponent may only be a Party to the Convention, in accordance with Article XV of the Convention. C. Supporting statement The proponent should provide sufficient information to allow the Conference of the Parties to identify clearly the taxon that is the subject of the proposal. 1.1 Class 1.2 Order 1.3 Family 1.4 Genus, species or subspecies, including author and year If the species concerned is included in one of the standard lists of names or taxonomic references adopted by the Conference of the Parties, the name provided by that reference should be entered here. If the species concerned is not included in one of the adopted standard references, the proponent should provide references as to the source of the name used. 1.5 Scientific synonyms The proponent should provide information on other scientific names or synonyms under which the species concerned may be known currently, especially if these names are used in the trade in the species. 1.6 Common names (including, where appropriate, trade names) 1.7 Code numbers If the species concerned is already included in the Appendices, refer to the code numbers in the CITES Identification Manual. 2. Overview Provide a brief overview of key elements of the proposal. Parties should cite key sections of the supporting statement. 3. Species characteristics The information required in this section is a summary of surveys, literature searches, and relevant studies. The references used must be listed in section 12 of the proposal. It 85

89 Chapter 6 Listing Criteria for Appendices I and II is understood that the quality of the information available will vary a lot, but these instructions indicate the type of information that is required. If the proposal relates to a geographically separate population or subspecies, it should consider, where relevant, the biological species in its entirety to provide the appropriate context. 3.1 Distribution Specify the currently known range of the species. If possible, provide information to indicate whether or not the distribution of the species is continuous and, if it is not, indicate to what degree it is fragmented. 3.2 Habitat Specify the types of habitats occupied by the species and, when relevant, the degree of habitat specificity and the extent of each habitat type over the range of the species. 3.3 Biological characteristics Provide a summary of general biological and life history characteristics of the species (e.g. reproduction, recruitment, survival rate, migration, sex ratio, regeneration or reproductive strategies). 3.4 Morphological characteristics Provide a general description of the morphological diagnostic characteristics of the species, including colour, and information on morphological features by which the species can be differentiated from taxonomically closely related species. 3.5 Role of the species in its ecosystem If available, provide information about the role of this species in its ecosystem, and other relevant ecological information, as well as the potential impact of this proposal on that role. 4. Status and trends This section includes qualitative and quantitative information that allows past and present trends to be evaluated pursuant to the criteria. The sources used must be referenced in section 12 of the proposal. It is understood that the quality of the information available will vary. The instructions below indicate the type of information that should be provided if possible. If the proposal relates to a geographically separate population or subspecies, it should consider, when relevant, the biological species in its entirety to provide the appropriate context. If available, the proposal should include any relevant quantitative analyses, stock assessments, etc. The proposal should note whether conclusions are based on observations, inferences or projections. 86

90 Chapter 6 Listing Criteria for Appendices I and II 4.1 Habitat trends Give information on the nature, rate and extent of habitat change (e.g. loss, degradation or modification), noting when applicable the degree of fragmentation and discernible changes in the quality of habitat. Where appropriate, the relationship between habitat and population trends should be described. 4.2 Population size Give an estimate of the current total population or number of individuals differentiated by relevant age classes where possible, or other indices of population abundance, based on the most recently available data. Provide information on the source of the data used. Where appropriate provide the number of subpopulations, and their estimated sizes. Population size may be estimated by reference to population density, having due regard to habitat type and other methodological considerations. 4.3 Population structure Provide basic information on the current structure of the population and any past or current changes over time in that structure (e.g. social structure, population demographics, proportion of mature individuals or sex ratio). 4.4 Population trends Basic, quantitative and qualitative information, when available, should be provided on current and past trends in the species' abundance (provide sources). The period over which these trends, if any, have been measured should be indicated. If the species naturally undergoes marked fluctuations in population size, information should be provided to demonstrate that the trend transcends natural fluctuations. If generation-time has been used in estimating the trend, state how the generation-time has been estimated. 4.5 Geographic trends Provide information, when available on current and past trends in the species distribution, indicating the period over which these trends, if any, have been measured. If relevant give data on the degree and periodicity of fluctuations in the area of distribution. 5. Threats Specify the nature, intensity and if possible relative importance of human-induced threats (e.g. habitat loss and/or degradation; over-exploitation; effects of competition/ predation/disease by introduced species, hybridization, toxins and pollutants; etc.). 87

91 Chapter 6 Listing Criteria for Appendices I and II 6. Utilization and trade 6.1 National utilization Specify the types and extent of all known uses of the species, indicating trends if possible. Provide details of harvest methods. Indicate the extent to which utilization is from captive-bred, artificially propagated, or wild specimens. Provide details of any stockpiles known to exist, and the measures that might be taken to dispose of them. 6.2 Legal trade Quantify the level of international trade, identifying the source of statistics used (e.g. Customs statistics, CITES annual report data, FAO data, industry reports, etc.). Provide justification for inferences made about trade levels. Provide information about the nature of the trade (e.g. primarily for commercial purposes, primarily live specimens, primarily parts and derivatives, primarily of captive-bred or artificially propagated specimens, etc.) and about how the proposed amendment is expected to affect the nature of the trade. 6.3 Parts and derivatives in trade To the extent possible, list parts and derivatives, including types of products in trade, Customs tariff codes specific to those parts and derivatives, and major importing and exporting countries that trade in those parts and derivatives. 6.4 Illegal trade To the extent possible, quantify the level of illegal trade, nationally and internationally, and describe its nature. Assess the relative importance of this trade in relation to legal offtake for national use or legal international trade. Provide information on how the proposed amendment is expected to affect the nature of the trade. 6.5 Actual or potential trade impacts Discuss the importance of current and/or future exploitation for international trade relative to overall use (domestic included) as a threat to the species in question. 7. Legal instruments 7.1 National Provide details of legislation relating to the conservation of the species, including its habitat, either specifically (such as endangered-species legislation) or generally (such as legislation on wildlife and accompanying regulations). Indicate the nature of legal protection (i.e. is the species totally protected, or whether harvesting is regulated or con- 88

92 Chapter 6 Listing Criteria for Appendices I and II trolled). Provide an assessment of the effectiveness of this legislation in ensuring the conservation and/or management of the species. Provide similar information relating to legislation governing the management of trade in the species in question. Provide an assessment of the effectiveness of this legislation in controlling illegal trade in the species. 7.2 International Provide details of international instruments relating to the species in question, including the nature of the protection afforded by such instruments. Provide an assessment of the effectiveness of these instruments in ensuring the conservation and/or management of the species. Provide similar information on international instruments relating to the management of trade in the species in question. Provide an assessment of the effectiveness of these instruments in controlling illegal trade in the species. 8. Species management 8.1 Management measures Provide details of programmes in place in the range States to manage populations of the species in question (e.g. controlled harvest from the wild, captive breeding or artificial propagation, reintroduction, ranching, quota systems, etc.). Include, where appropriate, details such as planned harvest rates, planned population sizes procedures for the establishment and implementation of quotas, and mechanisms for ensuring that wildlife management advice is taken into account. Where applicable, provide details of any mechanisms used to ensure a return from utilization of the species in question to conservation and/or management programmes (e.g. pricing schemes, community ownership plans, export tariffs, etc.). 8.2 Population monitoring Provide details of programmes in place to monitor the status of wild populations and the sustainability of offtake from the wild. 8.3 Control measures International Provide information on measures in place, in addition to CITES, to control the movement of specimens of the species in question across international borders. Include information about marking schemes in place, if any. 89

93 Chapter 6 Listing Criteria for Appendices I and II Domestic Provide information on controls in the range States aimed at ensuring a sustainable harvest from the wild of the species in question. Include information on education, compliance and enforcement activities as appropriate and an assessment of the effectiveness of the programmes. 8.4 Captive breeding and artificial propagation Where applicable, provide details of commercial captive-breeding or artificial propagation operations, including plantations, for the species in question within the country in question, including the size of captive stocks and the production, and the extent to which these operations are either contributing to a conservation programme or meeting a demand that would otherwise be met by specimens from the wild. Discuss any management implications of captive-breeding or artificial propagation programmes. Also provide information on the extent of captive-breeding or artificial propagation outside the country or countries of origin to the extent possible. 8.5 Habitat conservation Provide information, where available, regarding the number, size and type of protected areas relevant to the habitat of the species, and on habitat conservation programmes outside protected areas. 8.6 Safeguards In the case of proposals to transfer species from Appendix I to Appendix II or deletion from Appendix II, or proposals involving substantive annotations, provide information on any relevant safeguards. If the proposed amendment is likely to lead to an increase in trade in the species concerned, explain why this would not result in unsustainable trade in similar species. 9. Information on similar species Give the names of species of which specimens in trade look very similar. Provide details on how they may be distinguished, including, in particular, details on those commodities or parts and derivatives most common in trade, and explain whether or not it is reasonable to expect an informed non-expert to be able to make a firm identification. Provide details on how to resolve potential difficulties in distinguishing specimens of the species proposed for listing from those of similar species, in particular those specimens most common in trade. 10. Consultations Provide details of the consultation undertaken to secure comments on the proposal from the range States of the species, either through direct contact or via the CITES Sec- 90

94 Chapter 6 Listing Criteria for Appendices I and II retariat. Comments received from each country should be provided. Where comments were sought but not received in sufficient time to enable their inclusion in the supporting statement, this should be noted, as well as the date of the request. In cases of proposals to transfer Appendix-II species that are subject to the Review of Significant Trade to Appendix I, the proponent should consult the affected range State(s) and, as appropriate, the Animals Committee or Plants Committee. The proponent should state the reasons to justify why the amendment proposal was made. In cases of consultation with Parties via the CITES Secretariat, information from range States and nonrange States should be separated. In the case of species that are also managed through other international agreements or intergovernmental bodies, provide details of the consultations undertaken to obtain the comments of those organizations or bodies, and indicate how those comments have been addressed in the supporting statement. Where comments were sought but not received in sufficient time to enable their inclusion in the supporting statement, this should be noted, as well as the date of the request. 11. Additional remarks 12. References The listing of hybrids in the Appendices The issue was first addressed with Resolution Conf Plants The current recommendations for plants are contained in Resolution Conf (Rev. CoP15) as follows: The Resolution determines that: a) hybrids shall be subject to the provisions of the Convention even though not specifically included in the Appendices if one or both of their parents are of taxa included in the Appendices, unless the hybrids are excluded from CITES controls by a specific annotation in Appendix II or III; and b) regarding artificially propagated hybrids: i) plant species or other taxa included in Appendix I shall be annotated (in accordance with Article XV) if the provisions relevant to the most restrictive Appendix are to apply; 91

95 Chapter 6 Listing Criteria for Appendices I and II ii) if a plant species or other taxon included in Appendix I is annotated, an export permit or re-export certificate shall be required for trade in specimens of all artificially propagated hybrids derived from it; but iii) artificially propagated hybrids derived from one or more unannotated Appendix-I species or other taxa shall be regarded as being included in Appendix II and entitled therefore to all exemptions applicable to artificially propagated specimens of species included in Appendix II. Animals Resolution Conf (Rev. CoP14), expresses concern, as did Resolution Conf. 2.13, that trade in hybrids of species included in the Appendices should be controlled in order to support the controls on trade in the species included in Appendices I and II. The Conference of the Parties therefore decides that: a) hybrid animals that have in their recent lineage one or more specimens of species included in Appendix I or II shall be subject to the provisions of the Convention just as if they were full species, even if the hybrid concerned is not specifically included in the Appendices; b) if at least one of the animals in the recent lineage is of a species included in Appendix I, the hybrids shall be treated as specimens of species included in Appendix I (and shall be eligible for the exemptions of Article VII when applicable); c) if at least one of the animals in the recent lineage is of a species included in Appendix II, and there are no specimens of an Appendix-I species in such lineage, the hybrids shall be treated as specimens of species included in Appendix II; and d) as a guideline, the words recent lineage, as used in this Resolution, shall generally be interpreted to refer to the previous four generations of the lineage; It recommends that, when Parties are considering the making of non-detriment findings, in accordance with Article III, paragraph 2 (a), or Article IV, paragraph 2 (a), for specimens of hybrids that are subject to the provisions of the Convention, they take into account any potential detriment to the survival of the listed species. Annotations in the Appendices The Conference of the Parties has increasingly used annotations to appropriately address the different conservation needs of populations of species listed in the Appendices, e.g. for vicuña, rhinos, the African elephant. In the case of plants, annotations have been extensively used to facilitate trade in artificially propagated specimens, in particular hybrids and cultivars. The need of paperwork for such specimens is not believed to contribute to plant conservation, but in my view the Convention text clearly excludes that live specimens are exempted from the provisions of the Convention. 92

96 Chapter 6 Listing Criteria for Appendices I and II Resolution Conf (Rev. CoP15) resolves that annotations to proposals to amend Appendix I or Appendix II should be made in accordance with the applicable Resolutions of the Conference of the Parties, be specific and accurate as to affected parts and derivatives and should, to the extent possible, be harmonized with existing annotations. At the 10th meeting, it was therefore decided (Decision 10.70), that the Standing Committee should consider ways and means of clarifying legal and implementation issues related to the use of annotations in the appendices and present a report at the 11th meeting of the Conference of the Parties. The Standing Committee set up a working group for this purpose. This led to the adoption of a Resolution at CoP 11, which was amended at CoP s 13, 14 and 15. Resolution Conf (Rev. CoP15) is the result: The Conference of the Parties recognizes that annotations are increasingly used in the Appendices for a number of purposes and that certain types of annotations are for reference only, whereas others are substantive and are intended to define the scope of the inclusion of a species. It considers that the Parties have developed specific procedures for transfer, reporting and review for certain special cases of amendment of the Appendices, such as those relating to ranching, quotas, certain parts and derivatives, and trade regimes. It expresses awareness of the fact that certain types of annotations are an integral part of a species listing, and that any proposal to introduce, amend or delete such an annotation must follow the provisions of Resolution Conf (Rev. CoP15). It recalls that the Conference of the Parties had agreed at its second and fourth meetings that listings of plant species in Appendix II without an annotation should be interpreted as including all readily recognizable parts and derivatives, and that this view has not been changed by any subsequent decision of the Conference of the Parties. It is conscious that criteria for the submission of proposals to amend the Appendices that include annotations, and procedures for reviewing the implementation of such annotations, need to be clearly defined to avoid implementation and enforcement problems; The Conference of the Parties agrees that: a) the following are reference annotations and are for information purposes only: i) annotations to indicate that one or more geographically separate populations, subspecies or species of the annotated taxon are in another Appendix; ii) the annotations possibly extinct ; and iii) annotations relating to nomenclature; 93

97 Chapter 6 Listing Criteria for Appendices I and II b) the following are substantive annotations, and are integral parts of species listings: i) annotations that specify the inclusion or exclusion of designated geographically separate populations, subspecies, species, groups of species, or higher taxa, which may include export quotas; and ii) annotations that specify the types of specimens or export quotas; c) reference annotations may be introduced, amended or deleted by the Conference of the Parties, or by the Secretariat, as required, to facilitate the understanding of the Appendices; d) substantive annotations relating to species in Appendix I or II may be introduced, amended or deleted only by the Conference of the Parties in accordance with Article XV of the Convention; e) substantive annotations relating to geographically separate populations in Appendix I or II should be in compliance with the split-listing provisions contained in Resolution Conf (Rev. CoP15) Annex 3; and f) substantive annotations used in the context of transferring a species from Appendix I to Appendix II should be in compliance with the precautionary measures contained in Resolution Conf (Rev. CoP15) Annex 4. It also agrees: that no proposal for transfer of a species from Appendix I to Appendix II subject to an annotation relating to specified types of specimens shall be considered from a Party that has entered a reservation for the species in question, unless that Party has agreed to remove the reservation within 90 days of the adoption of the amendment; that a proposal to include a plant species in Appendix II, or to transfer a plant species from Appendix I to Appendix II, shall be interpreted to include all readily recognizable parts and derivatives if the proposal does not include an annotation specifying the types of specimens to be included; and that, for plant species included in Appendix II, the absence of an annotation relating to that species shall indicate that all readily recognizable parts and derivatives are included; The Conference of the Parties recommends that: a) Parties submitting proposals that contain substantive annotations ensure that the text is clear and unambiguous; b) two main principles be followed as standard guidance when drafting future annotations for medicinal plants: 94

98 Chapter 6 Listing Criteria for Appendices I and II i) controls should concentrate on those commodities that first appear in international trade as exports from range States; these may range from crude to processed material; and ii) controls should include only those commodities that dominate the trade and the demand for the wild resource; c) if a proposed annotation relates to specified types of specimens, the applicable provisions of the Convention for import, export and re-export of each type of specimen should be specified; d) as a general rule, Parties avoid making proposals to adopt annotations that include live animals or trophies; and e) annotations that specify the types of specimens included in the Appendices should be used sparingly, as their implementation is particularly challenging, especially where there are identification problems or where the purpose of trade has been specified; The Conference of the Parties directs: a) the Secretariat to report to the Standing Committee, for at least four years following the adoption of a proposal to transfer species from Appendix I to Appendix II subject to a substantive annotation, any credible information it receives indicating a significant increase in the illegal trade in or poaching of such species; and b) the Standing Committee to investigate any such reports of illegal trade and to take appropriate action to remedy the situation, which may include calling on the Parties to suspend commercial trade in the affected species, or inviting the Depositary Government to submit a proposal to amend the annotation or to retransfer the species to Appendix I; and agrees that, for species transferred from Appendix I to II with an annotation specifying that only certain types of specimen are subject to the provisions relating to species in Appendix II, specimens that are not specifically included in the annotation shall be deemed to be specimens of species included in Appendix I and the trade in them shall be regulated accordingly. Annotations for plants Decision instructs the Plants Committee to: a) prepare clarification (i.e. a glossary or an illustrated brochure to be made available to enforcement authorities) and guidance on the meaning of packaged and ready for retail trade and other terms used in the Annotations, and b) report at the 16th meeting of the Conference of the Parties (CoP16) and, if necessary, prepare additional amendment proposals for CoP16. 95

99 Chapter 6 Listing Criteria for Appendices I and II Review of annotations for Cactaceae and Orchidaceae: herbarium specimens Decision instructs the Secretariat to: a) encourage Parties via a Notification to contact their national scientific institutions, and to inform them about the implications and benefits under Article VII, paragraph 6, and Resolution Conf (Rev. CoP12); b) encourage Parties via a Notification to apply Article VII, paragraph 6, by registering scientific institutions as appropriate [as stated in Resolution Conf (Rev. CoP12)]; and c) in compliance with Decision 12.79, support the preparation of an information brochure. Decision provides that the Parties shall: a) Contact their national scientific institutions, and to inform them about the implications and benefits under Article VII, paragraph 6, and Resolution Conf (Rev. CoP12); and b) Apply Article VII, paragraph 6, by registering scientific institutions in accord with Resolution Conf (Rev. CoP12). Review of annotations for Cactaceae and Orchidaceae: evaluation of trade in finished products Decision instructs the Plants Committee to: a) continue to review the trade in Aloe spp., Cactaceae spp., Cyclamen spp., Galanthus spp., Gonystylus spp., Orchidaceae spp. and Prunus africana to determine whether additional finished products should be exempted by amending the relevant annotations for these species. This review should initially focus on trade in finished products of Orchidaceae spp. Recommendations on whether to exempt additional finished products from CITES controls should be based on the same considerations reflected in document PC18 Doc (e.g. whether finished products are exported from range States and are a significant portion of the trade). In conducting this work, the Plants Committee should consider whether a clear definition of finished products should be developed; and b) as appropriate, prepare proposals to amend Appendix II, based on the outcome of this review, and provide them to the Depositary Government for submission at the 16th meeting of the Conference of the Parties. 96

100 Chapter 6 Listing Criteria for Appendices I and II Decision instructs the Plants Committee to assess trade in epiphytic cacti, considering the information of document CoP15 Doc. 55 and focusing especially on the genera Disocactus, Epiphyllum, Hatiora, Lepismium, Pseudorhipsalis, Rhipsalis and Schlumbergera. The Plants Committee shall consult with range States and if appropriate, encourage and support range States to submit proposals to exempt certain taxa of epiphytic cacti from Appendix II for consideration of the 16th meeting of the Conference of the Parties. If there are many range States for a certain taxon, rendering it difficult to allocate responsibilities, or if range States do not take action, the Plants Committee shall prepare such proposals. Orchids: annotation for species included in Appendix II Decisions and requested Parties to monitor the implementation of the annotation for orchids and to report to the Plants Committee, which in its turn was to report to CoP 14. Decision provides that countries of export and import should make recommendations and prepare identification material on further exemptions for artificially propagated hybrids of Orchidaceae spp. included in Appendix II, taking into consideration the capacities of countries to implement and control such exemptions effectively. The results shall be sent to the Plants Committee, which shall evaluate them and adopt the appropriate measures. Decision (Rev. CoP15) instructs the Plants Committee to monitor and assess possible conservation problems arising from the implementation of the annotation to Orchidaceae spp. included in Appendix II and shall report on the issue at the 16th meeting of the Conference of the Parties. Medicinal plant annotations Decision (Rev. CoP12) charged the Plants Committee to consider the annotations in Appendices I and II relating to species of plants used for medicinal purposes and to make recommendations to clarify the annotations, for consideration at the 13th meeting of the Conference of the Parties. This led to the adoption of the following decisions at CoP 13: The Plants Committee shall prepare amendments to annotations for medicinal plants included in Appendix II that adequately reflect the current commodities in international trade and their relative impact on the wild populations in range States The amended annotations shall focus on those commodities that first appear in international trade as exports from range States and on those that dominate the trade and the demand for the wild resource. 97

101 Chapter 6 Listing Criteria for Appendices I and II The Plants Committee shall draft proposals to amend the Appendices in this respect for the Depositary Government to present for consideration at the 14th meeting of the Conference of the Parties Subject to the availability of external funding, the Secretariat shall prepare a glossary with definitions and training materials that illustrate the content of the amended annotations, the terms used and their practical application during enforcement and controls. The result is the following text in Resolution Conf (Rev. CoP15): b) two main principles be followed as standard guidance when drafting future annotations for medicinal plants: i) controls should concentrate on those commodities that first appear in international trade as exports from range States; these may range from crude to processed material; and ii) controls should include only those commodities that dominate the trade and the demand for the wild resource. Annotations for tree species Decision (Rev. CoP15) provides that: a) Based on the results of the trade study, the Plants Committee shall review the annotations for tree species listed in Appendices II and III and, if appropriate, draft amendments to the annotations and prepare clear definitions for the terms used in those annotations in order to facilitate their use and understanding by CITES authorities, enforcement officers, exporters and importers. b) The amended annotations shall focus on articles that initially appear in international trade as exports from range States and those which dominate the trade in and demand for the wild resource. c) The Plants Committee shall draft, if necessary, proposals to amend Resolution Conf (Rev. CoP15) and/or to amend the Appendices accordingly so that the Depositary Government may submit them on its behalf for consideration at the 16th meeting of the Conference of the Parties. Decision instructs the Secretariat, subject to the availability of external funding, to prepare a glossary with definitions and training materials to illustrate the content of the amended annotations, the terms used and their practical implementation when applying the law and controls. Decision15.35 instructs the Secretariat to commission a trade study, subject to available funding, to be conducted by an external consultant in cooperation with the International 98

102 Chapter 6 Listing Criteria for Appendices I and II Tropical Timber Organization, to review the trade in timber species listed in Appendices II and III to determine the types of specimens that initially appear in international trade or are exported from range States and regarding those which dominate the trade in and demand for the wild resource. Once the specimens that meet these criteria have been determined, the study should also determine which six-digit universal HS codes and associated definitions are applicable to these specimens. The Secretariat shall provide the results of this study to the Plants Committee. 99

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104 Chapter 7 - The Development of the Listing Criteria The simple fundamental principles laid down in Article II concerning the inclusion of species in Appendices I and II soon required the establishment of more detailed criteria and already in 1976, the Conference of the Parties adopted criteria for the addition of species to Appendices I and II and for the deletion of species from Appendices I and II. These criteria will be remembered as: The Bern criteria With Resolution Conf. 1.1 it was decided that in determining the appropriate Appendix in which a species or other taxon should be placed, the biological and trade status of the taxon should be evaluated together, as follows: Appendix-I criteria with regard to the biological status To qualify for Appendix I, a species must be currently threatened with extinction. Information of any of the following types should be required, in order of preference: a) scientific reports on the population size or geographic range of the species over a number of years, b) scientific reports on the population size or geographic range of the species based on single surveys, c) reports by reliable observers other than scientists on the population size or geographic range of the species over a number of years, or d) reports from various sources on habitat destruction, heavy trade or other potential causes of extinction. Genera should be listed if most of their species are threatened with extinction and if identification of individual species within the genus is difficult. The same should apply to the listing of any smaller taxa within larger ones. If most of the smaller taxa are not threatened, but identification of individual species is difficult, the entire larger taxon should be placed on Appendix II.

105 Chapter 7 The Development of the Listing Criteria Taxa listed in Appendix I because of difficulty in separating them from endangered forms within the same taxa, should be annotated as such in the Appendix. Appendix-I criteria with regard to the trade status Species meeting the biological criteria should be listed in Appendix I if they are or may be affected by international trade. This should include any species that might be expected to be traded for any purpose, scientific or otherwise. Particular attention should be given to any species for which such trade might, over a period of time, involve numbers of specimens constituting a significant portion of the total population size necessary for the continued survival of the species. The biological status and the trade status of a species are obviously related. When biological data show a species to be declining seriously, there need be only a probability of trade. When trade is known to occur, information on the biological status need not be as complete. This principle especially applies to groups of related species, where trade can readily shift from one species that is well known to another for which there is little biological information. The Conference of the Parties feared that the Bern criteria, expressed in such general terms, could lengthen Appendix I excessively. With Resolution Conf it therefore recommended: a) that the criteria be interpreted as applying where the population of a species in the wild is known to be so low that, if it were to be exploited in any way, it may be exterminated before effective steps could be taken to save it; and b) that, however, if the addition of a species to Appendix I would draw public attention to its rarity, this be also taken into consideration. Appendix-II criteria with regard to the biological status To qualify for Appendix II, species need not currently be threatened with extinction, but there should be some indication that they might become so. Such an indication might be a decreasing or very limited population size or geographic range of distribution. Information on the biological status should be one of the types required for Appendix-I species. Genera should be listed if some of their species are threatened and identification of individual species within the genus is difficult. The same should apply to listing any smaller taxa within larger ones. Appendix-II criteria with regard to the trade status Species meeting the biological criteria should be listed if they presently are subject to trade or are likely to become subject to trade. The latter situation can arise where heavy 102

106 Chapter 7 The Development of the Listing Criteria trade in one species is extended to include similar species if demand grows or if supplies of the one species are depleted. The amount of trade that a species can sustain without threat of extinction generally will be greater for species in Appendix II than for those in Appendix I, so there should be evidence of actual or expected trade in such a volume as to constitute a potential threat to the survival of the species. Appendix II serves in part as a monitoring tool (Article IV (3)) to gather such trade data. Annotations of Appendix II listings with reason for inclusion At the second meeting of the Conference of the Parties it was proposed to annotate the entries in Appendix II in order to facilitate the identification by Parties of the reason for their inclusion. This was thought to help Scientific Authorities in exporting countries to assess the general situation of a species. The majority of the Parties opposed this idea because it would complicate the Appendices and served internal purposes that should not be solved by means of the presentation of the Convention s Appendices. As a compromise solution, the Parties adopted the following statement for entry in the record of the meeting: Understanding the necessity in some States for a clear statement of the reasons under the Convention for the inclusion of a species into Appendix II to the Convention, the Parties recommend that proposals for addition to Appendix II should make it clear wherever possible whether the proposal is made under Article II.2.(a) or II.2.(b) of the Convention and in cases where groups of species or subspecies are entered for the same reason it will be sufficient so to indicate, i.e. species a, b and c under Article II.2.(a), the remainder of the higher taxon under II.2.(b). Review of the Appendices The fact that some 1,100 species were included in the Appendices prior to the adoption of the Bern criteria necessitated a review of such species. This has been the subject of many resolutions. Already at the first meeting, it was resolved that the Appendices should be examined in their entirety, species by species, by a technical conference that could be held in the near future or by some other means. Resolution Conf. 1.2 resolved that the deletion of a taxon from Appendix I or a transfer to Appendix II was a serious matter that should be approached with caution for the following reasons: The addition to and deletion from the Appendices require a different approach. If an error is made by unnecessarily placing a taxon on an Appendix, the result is the imposition of a documentation requirement. If, however, the Conference errs in prematurely removing a plant or animal from protection, or lowering the level of protec- 103

107 Chapter 7 The Development of the Listing Criteria tion afforded, the result can be the permanent loss of the resource. If it errs it should be therefore toward protection of the resource. Criteria for deletion or transfer should require positive scientific evidence that the plant or animal can withstand the exploitation resulting from the removal of protection. This evidence must transcend informal or lay evidence of changing biological status and any evidence of commercial trade, which may have been sufficient to require the animal or plant to be placed on an Appendix initially. Such evidence should include at least a welldocumented population survey, an indication of the population trends of the species, showing recovery sufficient to justify deletion, and an analysis of the potential for commercial trade in the species or population. In addition (...) it is advisable to contact the country or countries of origin prior to this action. Many of the species or taxa on the Appendices were placed there at the request of countries, which may not be represented at a Conference (deciding on the deletion or transfer of a species or taxon). The information from countries of origin and from the Secretariat should be made available to the Parties for examination in a written form prior to action by the Conference. Review of animal species Recommendation Conf. S.S. 1.8 of the 1977 Special Working Session requested Parties to review the animal species occurring in their countries in the light of the Bern criteria and to submit amendment proposals to the second meeting of the Conference of the Parties or in accordance with the postal procedure. The Parties were to let the Secretariat know (by 31 December 1977) which taxa they would review and the Secretariat was to coordinate this work and to undertake, together with IUCN, a similar review for species not reviewed by any Party. Review of Felidae Decision (Rev. CoP15) provides that the Animals Committee shall, immediately following the 13th meeting of the Conference of the Parties, include the Felidae in its Review of the Appendices. This review shall initially focus on the listing of the Lynx species complex, which includes species that are listed because of similarity of appearance, such as Lynx rufus. In addition to evaluating the listings of these species against the criteria for inclusion of species in Appendices I and II contained in Resolution Conf (Rev. CoP15), the Animals Committee shall assess the management and enforcement measures available to achieve effective control of trade in these species so as to resolve the continued need for look-alike listings. This assessment should also include a review of trade information to determine whether these species are actually confused in trade or whether the look-alike problem is merely hypothetical. The Animals Committee shall provide a report at the 16th meeting of the Conference of the Parties on the progress of the review of all Felidae and particularly on their review of Lynx spp. and look-alike issues. 104

108 Chapter 7 The Development of the Listing Criteria Proposals from the United States to delete Lynx rufus from Appendix II were rejected at CoP 14 and 15. Review of plant species A now repealed paragraph of Resolution Conf. 1.6 (Rev.) recommended that as a number of plant species on the Appendices did not meet the Bern criteria a review should be undertaken by the Threatened Plants Committee of IUCN to make proposals in sufficient time, with necessary documentation, to enable the Parties to take appropriate action as soon as possible. At the Special Working Session in 1977 and at the second meeting of the Conference of the Parties in 1979, the then Threatened Plants Committee emphasized the lack of trade data available for plants. It was decided to carry out a preliminary review of a sample number of plant species from the Appendices in time for the third meeting of the Conference of the Parties (1981). Twelve of 30 Appendix-I species examined were proposed for transfer to Appendix II, unless evidence of trade became available. The removal of two of 15 examined species from Appendix II was proposed on the same condition. Decision (from 10.87) provided that, in accordance with the terms of reference specified in Resolution Conf. 11.1, Annex 2, paragraph h) under RESOLVES, all timber species currently included in the appendices should be reviewed and the results of this review should be reported at the 12th meeting of the Conference of the Parties. Ten-year review of the Appendices The 1977 recommendations with regard to the regular review of the Appendices were formalized in 1981 with the establishment of a procedure for a 10-year review of the Appendices. Resolution Conf set up Regional Committees to review the trade and biological status of all Appendixes-I and -II species indigenous to the region and a Secretariat Committee to review the species not indigenous to any region. It further established a time schedule for the preparation of proposals to the fourth meeting of the Conference of the Parties and laid down the principle that a review is made at least every 10 years. This first comprehensive review was not completed in time and Resolution Conf. 4.26, adopted in 1983, urged the regions to complete it for the fifth meeting of the Conference of the Parties in Proposals in the context of the 10-year review procedure were made at every meeting of the Conference of the Parties until 1994 when the new criteria for the inclusion of species in the Appendices were adopted. 105

109 Chapter 7 The Development of the Listing Criteria Decision directed the Standing Committee to develop mechanisms to obtain greater involvement of the range States in the periodic review of the Appendices and provide guidance to reach a clear recommendation after the completion of the review. This resulted in Resolution Conf concerning the Periodic Review of the Appendices The Conference of the Parties agrees to the following: a) The Animals Committee and the Plants Committee should share their experience, especially during joined meetings, regarding the undertaking of periodic reviews of taxa included in the Appendices (including financing of reviews, processes, format and outputs). b) The Animals and Plants Committees shall establish a schedule for the Periodic Review of the Appendices and identify a list of taxa they propose to review during the next two intersessional periods between meetings of the Conference of the Parties (CoP). The list should be established at their first meeting after the meeting of the Conference of the Parties that initiates the review period. c) The Animals and Plants Committees are strongly encouraged to follow the following guidelines: i) the Animals and Plants Committees, in consultation with the UNEP World Conservation Monitoring Centre, shall select a practical taxonomic entity or entities and specimens traded for analysis; ii) the following taxa should not be considered for review: A. species that were the subject of listing proposals at the previous two meetings of the Conference of the Parties (whether or not the proposals were adopted); B. species listed under the new criteria [Resolution Conf (Rev. CoP15)] in the last 10 years; C. species subject to ongoing reviews, such as the Review of Significant Trade [Resolution Conf (Rev. CoP13)] or periodic reviews conducted within the last 10 years; or D. species subject to other reviews targeted by valid Decisions and Resolutions of the Conference of the Parties; iii) the selected taxonomic entity or entities shall be assessed using the process outlined in the Annex to the present Resolution; and 106

110 Chapter 7 The Development of the Listing Criteria iv) outputs 3 and 4 resulting from the assessment conducted in accordance with the Annex shall contain the following information in a summary table that includes: A. a summary of trade data since the initial inclusion of that taxon in the Appendices; B. current conservation status, including the IUCN category of the species; and C. current listing in the CITES Appendices, date of first listing, number of trade records, commercial trade, and remarks. d) From this summary table, and list generated in Output 2 from the assessment, the Animals and Plants Committees will identify the list of taxa to be reviewed. e) The Secretariat shall send a copy of the proposed list of taxa to be reviewed to all Parties, and request range States of the taxa to comment within 90 days on the need to review the taxa and express their interest in undertaking the reviews. The responses shall be relayed by the Secretariat to the Animals or Plants Committee. f) Taking these comments into account, the Animals and Plants Committees will inform the Standing Committee about the finalized selection of taxa to be reviewed. g) The Chairmen of the Animals and Plants Committees shall keep the Standing Committee informed about the conduct of periodic reviews of taxa included in the Appendices. A list of species previously reviewed, including dates of the review and links to the appropriate documents, shall be maintained by the Secretariat. h) The Animals and Plants Committees shall conduct or organize the reviews, seeking information, participation and support from the range States. The regional representatives of the Animals, Plants and Standing Committees shall seek assistance from range States within their region to support the taxon reviews. i) Each review (in the format of a proposal used to amend the Appendices) is to be submitted as a working document to the Animals or Plants Committee for review. The Secretariat shall notify the relevant range States of these working documents. j) In cases where a review indicates, and the technical committee concerned agrees, that it would be appropriate to transfer a taxon from one Appendix to another, or to delete a taxon from the Appendices, the Animals or Plants Committee shall, in consultation with the range States, prepare (or arrange the preparation of) a proposal to amend the Appendices. k) The Secretariat, on behalf of the Standing Committee and the Animals or Plants Committee, shall provide copies of the proposal to the range States and request that one or more should submit the proposal for consideration at the following meeting of the Conference of the Parties. 107

111 Chapter 7 The Development of the Listing Criteria l) If no range State is willing to submit the proposal, the Secretariat shall request the Depositary Government to submit it [as specified in Resolution Conf (Rev. CoP15)] and to include the comments of the range States in the supporting statement. m) Proposals resulting from the periodic review of the Appendices must be submitted for decision to the Conference of the Parties. 108

112 Chapter 7 The Development of the Listing Criteria Protocol for the assessment of taxa for consideration in the Periodic Review of the Appendices 109

113 Chapter 7 The Development of the Listing Criteria Reverse listing At one stage an attempt was made to find another method of classifying the species in the Appendices. The difficulties related to the use of so many species and subspecies in the Appendices such as identification problems, questions about taxa validity and the existence of taxonomic synonyms for many species led to the consideration of the socalled reverse listing, green listing, or positive listing concept. In 1981, Resolution Conf recommended that a sub-committee examine the implications of the general concept of listing species in which commercial trade is permitted (as compared to the current system, in which trade in listed species is restricted). This concept appeared to present many practical difficulties and, as it would also require a series of amendments to the text of the Convention, the idea was dropped. In the case of plants, the difficulties were most apparent. The necessary list of exemptions would need to show all the main agricultural, horticultural and forestry crop species besides the thousands of minor economic and specialist crop species. The very diversity and length of such a list would not only undermine the advantages of reverse listing for plants but also probably make it impossible to compile. Exceptions from the Bern criteria Of course these also needed to be provided for sooner or later. The deletion of species in the absence of normally required population data was first made possible in The Conference of the Parties decided with Resolution Conf that species included in Appendix I or II during or before the first meeting of the Conference of the Parties, might be proposed for deletion from Appendix I or II or for transfer from Appendix I to Appendix II, if a careful review of all available information on the status of the species did not lead to the conclusion that the species would be eligible for retention in its present Appendix under the adopted criteria. This opening of the possibility to delist or downlist species on the basis of available information was mainly to avoid the enormous cost of rigorously documenting the population status of species that had been included in the Appendices with little or no information, and that apparently did not meet the Bern criteria. Quota systems (also see Chapter 36) Partly for the same reasons as those for Resolution Conf above, further special criteria for the transfer of species from Appendix I to Appendix II were established in A temporary system was created on the basis of quota systems, which were deemed by the Conference of the Parties to be sufficiently safe as to not to endanger the survival of the species in the wild. 110

114 Chapter 7 The Development of the Listing Criteria On the basis of Resolution Conf. 5.21, such a transfer could take place without applying Resolution Conf. 1.2 if the species had been included in Appendix I without Resolution Conf. 1.1 having been applied. It was decided to review the Resolution at the seventh meeting of the Conference of the Parties. Details of Resolution Conf and Resolution Conf. 7.14, which replaced it in 1989, are contained in Chapter 36 on Quota systems. The subject is now covered by Resolution Conf (Rev. CoP15). Revision of the Bern criteria In 1992 a major initiative was taken on the basis of the fact that the 1976 Bern Criteria were not only outdated, but that the above described mechanisms and procedures were no longer satisfactory. In Resolution Conf. 8.20, the Conference of the Parties noted: - that the Appendices to the Convention now include a very large number of species, many of which may not be threatened by commercial trade; and - that certain species may not be appropriately listed in the Appendices, and the failure of mechanisms approved by the Conference of the Parties to delete from the Appendices or to transfer between Appendices inappropriately listed species. Conscious of the growing feeling amongst many Parties that the composition of the Appendices might not be enhancing conservation of some wild fauna and flora, the Conference believed that, to some extent, the difficulties arose from a lack of appropriate criteria to define the term threatened with extinction in Article II. In view of the above and the aspects of Resolution Conf. 8.3, the Conference expressed its conviction that the criteria adopted at the first meeting of the Conference of the Parties did not provide an adequate basis for amending the Appendices and decided that they should be replaced at the ninth meeting in Resolution Conf directed the Standing Committee to undertake, with the assistance of the Secretariat, a revision of the criteria for amending the Appendices, for consideration at the ninth meeting of the Conference of the Parties, by: a) drawing up the terms of reference for the work to be done; b) seeking the expertise of IUCN and other organizations and individuals as appropriate; and c) arranging for a common meeting of the Plants and Animals Committees at which a draft resolution on such criteria should be prepared. 111

115 Chapter 7 The Development of the Listing Criteria The Conference decided the following consultation procedure: a) the Secretariat was to distribute the draft resolution to the Parties at least 300 days prior to the meeting; b) the Parties were invited to comment on the draft, to the Secretariat, in order to allow the Standing Committee to prepare a revised draft; and c) the revised draft was to be circulated to the Parties at least 150 days prior to the meeting. This led to the adoption of Resolution Conf Review of Resolution Conf At the 12th meeting of the Conference of the Parties, the review of the criteria contained in Resolution Conf was discussed. This review was carried out in accordance with the terms of reference decided at the 11th meeting of the Conference of the Parties (Decision 11.2) as follows: Selection of taxa 1. The Chairmen of the Animals and Plants Committees, in collaboration with the Secretariat, should prepare separate lists of species for review. 2. The taxa should be selected on the basis of the results of the Animals and Plants Committees work on the regular review of the appendices, but may include, where appropriate, taxa that have not been subject to that review. 3. In order to evaluate the applicability of the criteria to all organisms, using all appropriate sources, the Animals and Plants Committees should identify a variety of other taxa, or groups of taxa, not currently included in the appendices to the Convention, as additional candidates for review. 4. The lists should be circulated to the members of the Animals and Plants Committee for their consideration and comments. 5. The species assessments resulting from the review of the appendices should follow the format detailed in Annex 2 A and B. The review process 6. A Criteria Working Group, comprising 12 individuals, should be established by the Conference of the Parties at its 11th meeting. 112

116 Chapter 7 The Development of the Listing Criteria 7. Representation on the Working Group should be on the basis of expertise across all major taxonomic groups drawn from a representative or alternate representative of the Animals Committee (appointed by its Chairman) and a representative or alternate representative of the Plants Committee (appointed by its Chairman) from each of the six CITES regions. The Criteria Working Group should be serviced by the Secretariat. 8. At its first meeting, convened by the Secretariat, the Criteria Working Group should elect a Chairman and Vice-chairman from among the members of the Group. 9. The Criteria Working Group should have the authority, in consultation with the Secretariat, to co-opt, as and when necessary, up to four external experts to assist it in conducting the review, including representatives from organizations such as FAO and ITTO. 10. The Criteria Working Group should address inter alia the following questions: a) Are the present criteria in Resolution Conf (Rev. CoP12), Annexes 1 and 2, and definitions and notes in Annex 5 scientifically valid and applicable to and sufficient for all taxonomic groups of plants and animals? b) Are the present guidelines in Annex 5 useful in assisting Parties to apply Resolution Conf (Rev. CoP12) when making proposals to amend the appendices to the Convention? c) Does the format in Annex 6 address the biological information requirements and focus the proponent on the information required to assess a proposal against the criteria? 11. The species assessments, provided by the Animals and Plants Committees, will assist the Working Group to identify any deficiencies in Resolution Conf (Rev. CoP12). If deficiencies are identified, the Working Group should develop proposals for consideration at the 12th meeting of the Conference of the Parties. 12. The results of the review should be fully documented and a preliminary report will be submitted to the Secretariat for circulation to the Parties, to interested intergovernmental organizations, and to non-governmental organizations, seeking their comments. Respondents will have 60 days in which to provide written comments to the Secretariat. 13. The analyses and any conclusions reached by the Criteria Working Group should be reviewed at a joint meeting of the Animals and Plants Committees taking into account the comments received. 14. A final report, amended as appropriate, should be prepared by the Chairmen of the Animals and Plants Committees for submission to the Conference of the Parties at its 12th meeting; including if necessary any proposed amendments to Resolution Conf (Rev. CoP12). 15. N.B. Some text included in Resolutions adopted at the tenth meeting of the Conference of the Parties and in draft resolutions for the 11th meeting might more properly be 113

117 Chapter 7 The Development of the Listing Criteria included in Resolution Conf (Rev. CoP12). If the Criteria Working Group is proposing amendments to Resolution Conf (Rev. CoP12), it should take these into account. Terms of reference for the review The 12th meeting of the Conference of the Parties considered the extensive documentation resulting from the review process since the 11th meeting and with Decision adopted the following terms of reference for the review of the criteria for amendment of Appendices I and II, to be completed by the 13th meeting of the Conference of the Parties: a) The revised version of Annex 4 of document CoP12 Doc. 58 compiled by the Chairman of the Criteria Working Group (CWG) formed by Committee I during the 12th meeting of the Conference of the Parties (the CWG12 Chairman s text) will form a basis for further discussion, in recognition of the substantial and constructive efforts contributed by the Parties, the inter-sessional Criteria Working Group set up at the 11th meeting of the Conference of the Parties, FAO, the Criteria Working Group formed during the 12th meeting of the Conference of the Parties, and others. b) The Animals and Plants Committees shall coordinate an open, transparent and broadly consultative process involving all Parties to consider further revision of the CWG12 Chairman s text. c) The process should include reviews of selected taxa, to ensure that the applicability of the criteria and guidelines to a broad array of taxa is assessed, and results of these reviews should be made widely available. d) The Animals and Plants Committees shall report to the Standing Committee before a date to be established by the Standing Committee. This resulted in the adoption of Resolution Conf (Rev. CoP13) in 2004, which was then reviewed and amended at every subsequent meeting of the Conference of the Parties. The current version is addressed in Chapter

118 Chapter 8 - Listing Criteria for Appendix III Article II, paragraph 3 Appendix III shall include all species which any Party identifies as being subject to regulation within its jurisdiction for the purpose of preventing or restricting exploitation, and as needing the cooperation of other Parties in the control of trade. This principle should be read together with the provisions of Article XVI, which deals with Appendix III and amendments thereto. Resolution Conf (Rev. CoP15) consolidates all earlier Resolutions on the inclusion of species in Appendix III. It recognizes that Article XVI, paragraph 1, provides Parties with the right to list species in Appendix III. It recalls that Article II, paragraph 3, provides for the inclusion of species in Appendix III by a Party only if it needs the cooperation of other Parties in the control of trade. It recognizes that, for a species with a natural distribution that goes beyond the territory of the Party requesting its inclusion in Appendix III and its immediate neighbours, such inclusion may not necessarily need to cover all range States. This is in fact at odds with the idea of an Appendix III listing that the country listing the species issues export permits and all other range states issue certificates of origin to indicate to the importing country that no export permit is required. When not all populations are covered by an Appendix-III listing, there will be no documents for many specimens in trade, making their origin unclear. This obviously undermines the purpose of the listing. It notes that Resolution Conf. 1.5 recommended that all readily recognizable parts and derivatives of species included in Appendix III be covered, that Resolution Conf recommended criteria for the inclusion of species in Appendix III that Resolution Conf encouraged Parties to declare inclusion of species in Appendix III or withdrawals therefrom at meetings of the Conference of the Parties and that Resolution Conf recommended inter alia that, before submitting a species for inclusion in Appendix III,

119 Chapter 8 Listing Criteria for Appendix III Parties request the advice of the Animals Committee or the Plants Committee regarding the trade status and biological status of that species. The Conference of the Parties states that, at the moment, Appendix III contains species that occur rarely or not at all in international trade and for which the Convention is therefore not effective. The effectiveness of the Convention is not at stake here. What was meant is that the Convention cannot do much for a species if it is not in trade. It observes that many Parties are unwilling to take on the administrative burden of implementing the provisions of the Convention with regard to Appendix III and believes that this unsatisfactory implementation arises because the Parties are not fully convinced of the effectiveness of Appendix III. Many Parties indeed consider(ed) the implementation of Appendix III as a disproportionate burden because of the listing of species without appropriate criteria. Parties also entered reservations on Appendix-III listings because some of the listing countries used CITES to prevent the export of raw materials, but not of products. It recognizes that Resolution Conf. 1.5, paragraph 5, was deficient in not addressing the need for adequate implementation of domestic legislation. It recalls the wish of the Conference of the Parties, expressed at its eighth meeting, to reduce the number of its Resolutions. It considers that, for the effective implementation of the Convention with regard to Appendix III, it is desirable to give clear guidelines for including species in Appendix III that reflect the aims of the Convention expressed in its Preamble. The Conference of the Parties recommends that, if a Party has made a reservation with regard to any species included in Appendix I or II, it not request that this species be included in Appendix III. It recommends that, when considering the inclusion of a species in Appendix III, a Party: a) ensure that: i) the species is native to its country; ii) its national regulations are adequate to prevent or restrict exploitation and to control trade, for the conservation of the species, and include penalties for illegal taking, trade or possession and provisions for confiscation; iii) its national enforcement measures are adequate to implement these regulations; and 116

120 Chapter 8 Listing Criteria for Appendix III iv) for species that are traded for their timber, consideration is given to including only that geographically separate population or populations of the species for which the inclusion would best achieve the aims of the Convention and its effective implementation, particularly with regard to the conservation of the species in the country requesting its inclusion in Appendix III; As I indicated under the corresponding preambular clause of this recommendation, this is contrary to the envisaged functioning of Appendix III controls. b) determine that, notwithstanding these regulations and measures, there are indications that the cooperation of the Parties is needed to control illegal trade; c) inform the Management Authorities of other range States, the known major importing countries, the Secretariat and the Animals Committee or the Plants Committee that it is considering the inclusion of the species in Appendix III and seek their opinion on the potential effects of such inclusion; d) after due consultation, and having satisfied itself that the biological status and trade status of the species justify the action, submit to the Secretariat the name of the species it wishes to include in Appendix III; and e) ensure that its request to include a species in Appendix III specifies which readily recognizable parts and derivatives are to be included unless it intends to include all readily recognizable parts and derivatives. It recommends further that, unless there is an urgent need for inclusion, a Party intending to include a species in or delete a species from Appendix III inform the Secretariat of its intention at least three months before a meeting of the Conference of the Parties, in order that the Parties are informed of the amendment in time to ensure that it enters into force on the same date as amendments to Appendices I and II adopted at the meeting. It should be noted that Appendix III listings often happen immediately after a meeting of the Conference of the Parties because of a rejected Appendix I or II listing proposal. It directs the Secretariat: a) to publish the changed Appendices I, II and III together after each meeting of the Conference of the Parties, or at other times when warranted; b) before communicating to Parties the inclusion of a species in Appendix III, to ensure that copies of all relevant national laws and regulations have been received from the Party concerned in accordance with paragraph 4 of Article XVI; and c) if a Party requests the inclusion of a species in Appendix III and requests that the listing be limited to a particular population, to consult with that Party to ensure that the 117

121 Chapter 8 Listing Criteria for Appendix III listing will achieve the level of control and cooperation with other range States intended by the Party. Again, this limitation to a particular population defeats the purpose of Appendix III. It agrees that the inclusion of a species in Appendix III without an annotation shall indicate that all readily recognizable parts and derivatives are included in the Appendix. It requests the Animals Committee and the Plants Committee to assist Parties if necessary in reviewing the status of species in Appendix III, subject to available funding. It urges Parties having included species in Appendix III to periodically review the status of these species and, taking into account these guidelines and any recommendations of the Animals and Plants Committees, to consider the necessity to maintain them in that Appendix. It resolves that, when any species already included in Appendix III is subsequently included in Appendix I or II, it shall be deleted from Appendix III. 118

122 Chapter 9 - The history of the Appendix III listing criteria The first effort to reduce the number of species in Appendix III was made in The now repealed paragraph 5 of Resolution Conf. 1.5 recommended that when domestic legislation was adequate to protect a species, it should not be added to Appendix III. Species occurring in a country and not appearing in Appendix I or II could be added to Appendix III, when international control was needed to provide proper protection. Resolution Conf. 1.5 (Rev. CoP12) also provided that, if a country made a reservation on any species listed in Appendix I or II, that country should not propose that this species be listed in Appendix III. Resolution Conf. 1.5 (Rev. CoP12) was repealed at CoP14 and the following text included in Resolution Conf (Rev. CoP15), which recommends that, if a Party has made a reservation with regard to any species included in Appendix I or II, it not request that this species be included in Appendix III. In 1985, at the fifth meeting of the Conference of the Parties, reference was made to the possibility of abuse of Appendix III. The fact that some countries of origin only issued export permits for finished products and prohibited the export of raw materials was considered to be a trade rather than a conservation measure. Resolution Conf noted that different interpretations of the criteria of Article II.3 may lead to abuses of the instrument of Appendix III and recommended: a) that only those species, which are native to the country proposing such inclusion, be included in Appendix III; b) that only those species which, within the jurisdiction of the country concerned, are subject to regulations for the protection of fauna and flora for the purpose of preventing or restricting exploitation be included in Appendix III; c) that Parties proposing the inclusion of species in Appendix III can exclude readily recognizable parts and derivatives only if this is in accordance with Resolution Conf. 4.24; and d) that export permits granted under Article V(2) be issued in accordance with uniform criteria.

123 Chapter 9 The History of the Appendix III Listing Criteria Changes in Appendix III force other Parties to change their implementation legislation and in order to avoid that happening too frequently, the Conference of the Parties, in 1989 (Resolution Conf. 7.15) encouraged each Party that intended to include or to withdraw species, to declare this at meetings of the Conference of the Parties. It was, however, also considered that urgent circumstances might make the quick listing of species in Appendix III necessary. In 1992, the right of each Party to decide which species are to be included in Appendix III was acknowledged, but it was also considered that the Appendix might contain several species, which occur rarely or not at all in international trade and for which the Convention was therefore not effective. It was also felt that Appendix III contained species that were not threatened by international trade in the region for which they had been included. Concern was therefore expressed that the credibility of the Convention and its effectiveness were not enhanced by the inclusion in any Appendix of species that were not in trade or not in any way considered as endangered or vulnerable as a consequence of international trade. Another concern was that the Parties might be less inclined to adequately implement the Convention with regard to Appendix III and to cope with the resulting administrative burden if they were not fully convinced of the effectiveness of Appendix III. Resolution Conf recommended: a) that Parties in principle restrain themselves from adding species to Appendix III and, when they intend to submit species for inclusion in Appendix III, they consider carefully whether such inclusion can be effective for the conservation of such species in terms of the Convention; b) that, before submitting a species for inclusion in Appendix III, Parties request the advice of the Animals Committee or the Plants Committee regarding the trade status and biological status of that species; c) that Parties seriously consider not submitting a species for inclusion in Appendix III when the advice under b) does not favour such inclusion; d) that Parties having included species in Appendix III carefully review such species and the necessity to maintain such species in that Appendix; and e) that Parties seriously consider withdrawing species from Appendix III if their review, or the advice of the Animals Committee or the Plants Committee referred to below, support such withdrawal. The Animals and Plants Committees were directed to review the effectiveness, for the purposes of the Convention, if the retention in Appendix III of each species listed therein, taking account of its trade and biological status, and to advise the Parties concerned of the results of this review before the ninth meeting of the Conference of the Parties. 120

124 Chapter 9 The History of the Listing Criteria for Appendix III This resulted in the adoption of Resolution Conf. 9.25, which consolidated all earlier Resolutions on the inclusion of species in Appendix III. The text of Resolution Conf (Rev. CoP15) can be found in Chapter 8, on page

125

126 Chapter 10 - Trade in specimens of Appendix-I species Article III, paragraph 1 All trade in specimens of species included in Appendix I shall be in accordance with the provisions of this Article. The conditions under which the different forms of trade must take place are contained in the subsequent paragraphs of Article III: export in 2, import in 3, re-export in 4 and introduction from the sea in 5. Decision directed the Standing Committee to - through UNEP/WCMC - conduct a review of trade in specimens of Appendix I species for the last five years and to - if necessary - draft recommendations for consideration at CoP14. Export of Appendix-I specimens Article III, paragraph 2 The export of any specimen of a species included in Appendix I shall require the prior grant and presentation of an export permit. An export permit shall only be granted when the following conditions have been met: Article III.2, paragraph (a) a Scientific Authority of the State of export has advised that such export will not be detrimental to the survival of that species; The advice of the Scientific Authority that the export of specimens of Appendix-I and -II species and in the case of Articles III.5 and IV.6 the introduction from the sea will not be detrimental to the survival of the species is obviously essential for achieving the aims of the Convention. It is also obvious that this non-detriment finding requires sufficient knowledge of the conservation status of the species and that a positive advice should not be given in the absence thereof.

127 Chapter 10 Trade in Specimens of Appendix I Species The fact that, under the provisions of the Convention, a Management Authority cannot issue permits in the absence of positive advice from the Scientific Authority cannot be stressed enough. It is, however, a condition, which is not always implemented. The role of the Scientific Authority is laid down in Resolution Conf. 10.3; see Chapter 19, page 335. Article III.2, paragraph (b) a Management Authority of the State of export is satisfied that the specimen was not obtained in contravention of the laws of that State for the protection of fauna and flora; The Management Authority is the authority mentioned in Article I(g) and designated by a Party in compliance with Article IX.1(a), also see Chapter 19; page 335. It is the authority for granting permits and certificates and will normally be a government body, which is in many cases also responsible for nature conservation. It should therefore be in the position to establish whether a specimen was legally acquired in its country, i.e. not in contravention of its own laws for the protection of fauna and flora. As Article III.2 concerns the export of specimens, it should be established that the specimens were indeed taken from the wild in the country of export and not in another country. Otherwise the export would in fact be a re-export and the prior export and import should have been in accordance with the provisions of the Convention. Article III.2, paragraph (c) a Management Authority of the State of export is satisfied that any living specimen will be so prepared and shipped as to minimize the risk of injury, damage to health or cruel treatment; and See Chapter 34 on the Transport of Live specimens; page 485. Article III.2, paragraph (d) a Management Authority of the State of export is satisfied that an import permit has been granted for the specimen. The provision that an import permit must have been issued before an export permit for an Appendix-I specimen can be granted is essential for the functioning of the CITES system with regard to trade in Appendix-I species. Article II.1 provides that trade in Appendix-I species must be subject to particularly strict regulation and only be authorized in exceptional circumstances. A further limitation is provided for in Article III.3(c), which 124

128 Chapter 10 Trade in Specimens of Appendix I Species binds the issue of an import permit to the condition that the specimens are not to be used for primarily commercial purposes. Article III.3(a) requires the advice from the Scientific Authority of the importing country that the import will be for purposes which are not detrimental to the survival of the species involved and Article III.3(b) contains conditions with regard to the housing of live specimens in the importing country. The Management Authority of the exporting country, in view of its obligations under Article II.1 and knowing that the exceptional circumstances in which trade can be authorized do not include the primarily commercial use of specimens in the importing country, therefore needs the assurance that all relevant conditions are met before it can issue an export permit. That assurance is given in the form of the import permit granted by the Management Authority of the importing country in accordance with Article III.3. In the absence of such an import permit, the export permit cannot be granted. The difference between the wording of Article III.2(d) and that of the corresponding provision of Article III.4(c) is awkward. In the case of export, the provision that an import permit must have been granted applies to all specimens and in the case of re-export only to living specimens. Because in the case of re-export the specimens have already been removed from the wild and subject to international trade, the authors of the Convention appear to have attached less importance to the subsequent fate of dead specimens and parts and derivatives and must have taken it that the Management Authority of the reexporting country would probably feel the same. In my opinion, this was a mistake. The guarantee, provided by the availability of an import permit that the specimens are not to be used for primarily commercial or detrimental purposes is not given to the Management Authority of the re-exporting country and where no such import permit was or will be issued this will lead to abuse. It should be pointed out that in the case of approved quotas for hunting trophies of Appendix-I species, the obligation that an import permit must have been granted before an export permit is issued also applies, but poses certain practical difficulties. It is obviously difficult for a trophy hunter to know before leaving his country what trophies he will be able to obtain and eventually import. With regard to leopard skins for example, Resolution Conf (Rev. CoP14) recommends therefore in paragraph d) that the words has been granted be deemed to have been satisfied upon the written assurance of the Management Authority of the state of import that an import permit will be granted. Resolution Conf (Rev. CoP14) contains the same provision for markhor hunting trophies. 125

129 Chapter 10 Trade in Specimens of Appendix I Species Import of Appendix-I specimens Article III, paragraph 3 The import of any specimen of a species included in Appendix I shall require the prior grant and presentation of an import permit and either an export permit or a re-export certificate. An import permit shall only be granted when the following conditions have been met: Article III.3, paragraph (a) a Scientific Authority of the State of import has advised that the import will be for purposes which are not detrimental to the survival of the species involved; This condition must be read together with the fundamental principle laid down in Article II.1 that trade in specimens of Appendix-I species must only be authorized in exceptional circumstances. As Article III.3 (c) provides that the specimens are not to be used for primarily commercial purposes, it is the task of the Scientific Authority under Article III.3(a), to determine whether other than primarily commercial purposes of an importation are detrimental to the survival of the species or not. There are no specific resolutions on the subject in spite of the obvious difficulties linked to it. When is the purpose of importing an endangered animal or plant detrimental to the survival of its species? The reply will differ from species to species, specimen to specimen (live or dead, was already in captivity or not, etc.) and from purpose to purpose. The only obvious case of an importation not being detrimental to the survival of a species is if it is clearly beneficial to its survival. Such purposes are limited, however, and the outcome of the considerations of a Scientific Authority will in the majority of cases be more difficult to arrive at. Some examples of purposes that might meet the conditions of both Article III.3 (a) and (c) are: a) Scientific research in the interest of the survival of the species, e.g. with a view to enhance the reproduction and survival rates of the animals in the wild or in captivity. b) Captive breeding and artificial propagation, either with a view to the reintroduction of the species in the wild, to increase small existing wild populations, or to reduce the number of specimens that would otherwise be taken from the wild. 126

130 Chapter 10 Trade in Specimens of Appendix I Species c) Research for the development of substitutes for products hitherto derived from specimens taken from the wild. d) Education and training. In this context, the display to the public for educational purposes poses a particular problem. Part of that problem is related to the possible commercial aspects of such a display. However, even if a zoo, an aquarium, a plant collection, etc. meets the condition of Article III.3 (c), the question remains whether the educational effect of displaying an endangered animal or plant to the public is in itself sufficient to meet the condition of Article III.3 (a). The reply to be given by the Scientific Authority will differ from case to case. A positive reply seems, however, unlikely unless the display is subsidiary to scientific research, captive breeding/artificial propagation or any other primarily non-commercial purpose, which the Scientific Authority deems permissible. e) The transport of surplus specimens from one wild population to a less thriving one in another country. The Scientific Authority should ask itself in most of the above cases whether the intended purpose might be achieved by other means, e.g. through the acquisition of specimens of another, non-endangered, species or of captive bred specimens. f) Hunting trophies. The housing of live Appendix I specimens Article III.3, paragraph (b) a Scientific Authority of the State of import is satisfied that the proposed recipient of a living specimen is suitably equipped to house and care for it; and There is a difficulty in the text of Article III.3 (b) and in that of Article III.5 (b). Both conditions concern the question of whether the proposed recipient of a live Appendix-I specimen is suitably equipped to house and care for it. In III.3(b), however, the task of examining this is attributed to the Scientific Authority and in III.5(b) to the Management Authority. This difference was already discovered before the first meeting of the Conference of the Parties and Resolution Conf. 1.5 invited the Secretariat to take note of this and a number of other textual errors and made proposals which should be put on the agenda of the first extraordinary meeting of the Conference of the Parties as amendments to the Convention. 127

131 Chapter 10 Trade in Specimens of Appendix I Species Meanwhile two such meetings have taken place but the errors concerned have never been corrected. At the ninth meeting of the Conference of the Parties, it was again decided (Decision 9.26) to put the necessary amendment proposals on the agenda of the next extraordinary meeting of the Conference of the Parties, whenever this may be convened. This provision is now included in Resolution Conf. 4.6 (Rev.CoP15). It directs the Secretariat to put the following proposal on the agenda of the next extraordinary meeting: c) paragraphs 3 (b) and 5 (b) of Article III should include either a Management Authority or a Scientific Authority of the State etc. There are no resolutions on the housing conditions of Article III.3 (b) although there is an aspect to it that deserves the attention of Management and Scientific Authorities: The question of who the proposed recipient of a living specimen is. In some cases, the importation for a purpose meeting the conditions of subparagraphs (a) and (c) is carried out by an agent (not to be confused with a dealer). In those cases, the proposed recipient is the person on behalf of whom the importation shall take place and not the agent. It is advisable to subject the movement of the specimens from the approved address, after the importation has taken place, to authorization by the Management Authority. Trade in wild-taken Appendix-I specimens for the pet trade should be impossible under conditions (a) and (c), which facilitates a correct implementation of condition (b). Wild specimens of Appendix I species cannot be imported for primarily commercial purposes. Article III.3, paragraph (c) a Management Authority of the State of import is satisfied that the specimen is not to be used for primarily commercial purposes. The term not to be used for primarily commercial purposes cannot be applied in general and can in addition hardly be defined. The question whether a specimen is to be used for primarily commercial purposes or not, at least implies that an import permit cannot be granted if the intended use is for commercial purposes. The use of the word primarily further suggests that if the use is for a combination of commercial and non-commercial purposes, the latter must predominate. Imports can therefore only be for non-commercial purposes or for primarily non-commercial purposes. It must be pointed out that the nature of the transaction between exporter and importer may very well be commercial. The condition of Article III.3 (c) only concerns the use of the specimens from the time of importation onwards. Paragraph 4 of Resolution Conf. 128

132 Chapter 10 Trade in Specimens of Appendix I Species 5.10 (Rev. CoP15) below confirms this point of view. The situation is clear in cases where the purpose of the importation, or rather of the subsequent use of the specimens to be imported, lacks any commercial aspect whatsoever. Such cases are rare and most will combine commercial and non-commercial aspects. The exemptions discussed in Chapter 15, page 211, also play an important role in the determination of the possible use of Appendix I specimens. Definition of primarily commercial purposes Resolution Conf (Rev. CoP15) attempts to define primarily commercial purposes. The Resolution acknowledges, however, that such a definition cannot be given. It therefore lays down some general principles and gives examples for the guidance of Parties in their assessment of the commercial aspects of the intended use of Appendix-I specimens to be imported. It recommends that for the purposes of Article III, paragraphs 3 (c) and 5 (c), of the Convention, the following general principles and the examples in the Annex attached to the present Resolution be used by the Parties in assessing whether the import of a specimen of an Appendix-I species would result in its use for primarily commercial purposes: General principles 1. Trade in Appendix-I species must be subject to particularly strict regulation and authorized only in exceptional circumstances. 2. An activity can generally be described as commercial if its purpose is to obtain economic benefit (whether in cash or otherwise), and is directed toward resale, exchange, provision of a service or any other form of economic use or benefit. 3. The term commercial purposes should be defined by the country of import as broadly as possible so that any transaction which is not wholly non-commercial will be regarded as commercial. In transposing this principle to the term primarily commercial purposes, it is agreed that all uses whose non-commercial aspects do not clearly predominate shall be considered to be primarily commercial in nature, with the result that the import of specimens of Appendix-I species should not be permitted. The burden of proof for showing that the intended use of specimens of Appendix-I species is clearly non-commercial shall rest with the person or entity seeking to import such specimens. 4. Article III, paragraphs 3 (c) and 5 (c), of the Convention concern the intended use of the specimen of an Appendix-I species in the country of import, not the nature of the transaction between the owner of the specimen in the country of export and the recipient in the country of import. It can be assumed that a commercial transaction underlies many of the transfers of specimens of Appendix-I species from the country of export to the country of import. This does not automatically mean, however, that the specimen is to be used for primarily commercial purposes. 129

133 Chapter 10 Trade in Specimens of Appendix I Species Examples 130 Annex The following examples recognize categories of transactions in which the noncommercial aspects may or may not be predominant, depending upon the facts of each situation. The discussions that follow each example provide further guidance in, and criteria for, assessing the actual degree of commerciality on a case-by-case basis. The list is not intended to be exhaustive of situations where an import of specimens of Appendix-I species could be found to be not for primarily commercial purposes: a) Purely private use: Article VII, paragraph 3, of the Convention contains special rules for specimens "that are personal or household effects". The exception mentioned does not apply when specimens of Appendix-I species are acquired by the new owner outside of his or her country of usual residence and are imported into that country. It can, however, be deduced from this provision that specimens imported for purely private use should not be considered to be for primarily commercial purposes. b) Scientific purposes: Article VII, paragraph 6, of the Convention uses the term "non-commercial loan, donation or exchange between scientists or scientific institutions". Thus, the Convention acknowledges that scientific purposes may justify a special departure from the Convention's general procedure. The import of specimens of an Appendix-I species may be permitted in those situations where the scientific purpose for such import is clearly predominant, the importer is a scientist or a scientific institution registered or otherwise acknowledged by the Management Authority of the country of import, and the resale or commercial exchange of the specimens, or their exhibit for economic benefit is not the primary intended use. c) Education or training: Specimens of Appendix-I species may also be imported by government agencies or nonprofit institutions acknowledged by the Management Authority of the country of import for purposes of conservation, education or training. For example, a specimen could be imported primarily to train Customs staff in effective CITES control. Imports of this type would thus be considered permissible. d) Biomedical industry: Close scrutiny must be applied to imports of specimens of Appendix-I species in connection with the biomedical industry, with an initial presumption that such imports are commercial. The purpose of the import here would be twofold: to develop products to promote public health and to sell such products, i.e. to make a profit. The latter aspect in this case would usually be considered to be predominant. As a result, imports of this type will most often not be acceptable. However, where the importer makes a clear

134 Chapter 10 Trade in Specimens of Appendix I Species showing to the Management Authority of the country of import that the sale of products is only incidental to public health research and not for the primary purpose of economic benefit, then such imports could fall within group b) above. e) Captive-breeding programmes: Imports of specimens of Appendix-I species for captive-breeding purposes are a special case. Any import of such specimens for captive-breeding purposes should be in accordance with Resolution Conf (Rev.) and must be aimed as a priority at the long-term protection of the affected species, as required in Resolution Conf (Rev.). The sentence in italics originally referred to Resolution Conf. 2.12, which was repealed with the adoption of Resolution Conf at CoP10 (Harare, 1997). The latter Resolution was revised at CoP11 (Gigiri, 2000). Resolution Conf (Rev.), however, says nothing regarding the conditions for import of specimens for captive-breeding purposes and nothing about long-term protection of species. The Secretariat therefore proposed to delete the sentence concerned, which was rejected by the Conference of the Parties. Some captive-breeding operations sell surplus specimens to underwrite the cost of the captive-breeding programme. Imports under these circumstances could be allowed if any profit made would not inure to the personal economic benefit of a private individual or shareholder. Rather, any profit gained would be used to support the continuation of the captive-breeding programme to the benefit of the Appendix-I species. It should not, therefore, be assumed that imports under such circumstances are inappropriate. As for imports of captive-bred specimens for captive-breeding programmes for commercial purposes, Article VII, paragraphs 4 and 5, eliminate the need to address the primarily commercial purposes requirement in Article III, paragraph 3 (c). In connection with captive-breeding purposes, it should be noted that, as a general rule, imports must be part of general programmes aimed at the recovery of species and be undertaken with the help of the Parties in whose territory the species originate. The profit that might result should be used to support the continuation of the programme aimed at the recovery of the Appendix-I species. f) Imports via professional dealers: A problem occurs with examples b) through e) above if the import is via a professional dealer. In such situations, the import initially serves a commercial purpose and in principle, therefore, should be prohibited under Article III, paragraph 3 (c), of the Convention. The fact that the dealer states an intention to eventually sell the imported specimen to an undetermined zoo or scientific institution should not change this overall conclusion. In practice, living specimens are generally imported commercially with just this aim in mind. However, imports through a professional dealer by a qualified scientific, educational, zoological or other non-profit organization may be considered acceptable if the ultimate intended use would be for one of the purposes set out in examples b), c) and e) above, and where a binding contract (including a contract conditioned on the granting of permits) for the import and sale of a particular specimen of an Appendix-I species has already been concluded between the professional dealer and the purchasing institution 131

135 Chapter 10 Trade in Specimens of Appendix I Species and is presented to the Management Authority of the country of import with the import permit application. The same should apply to example d) if sale is incidental to public health and not for the primary purpose of economic benefit. If a proposed import of a specimen of an Appendix-I species fits within one of the above examples, all other applicable provisions of the Convention must still be satisfied in order for the import to be acceptable. For example, where the primary purpose for import is scientific study or zoological exhibition, the remaining conditions under Article III, paragraph 3 or 5, as applicable, must still be met. Thus, it is possible for an import for scientific or zoological exhibition purposes to be inappropriate where such import is found to be detrimental to the survival of the species or where, in the case of live specimens, it is found that the ultimate recipient of the specimens lacks facilities suitably equipped to house and properly care for the specimens. Moreover, in keeping with the provisions of Article II, paragraph 1, the import of specimens of Appendix-I species removed from the wild for one of the purposes set forth above should, as a general rule, not be allowed unless the importer has first demonstrated that: a) he has been unable to obtain suitable captive-bred specimens of the same species; b) another species not listed in Appendix I could not be utilized for the proposed purpose; and c) the proposed purpose could not be achieved through alternative means. Re-export of Appendix-I specimens Article III, paragraph 4: The re-export of any specimen of a species included in Appendix I shall require the prior grant and presentation of a re-export certificate. A re-export certificate shall only be granted when the following conditions have been met: Article III.4, paragraph (a) a Management Authority of the State of re-export is satisfied that the specimen was imported into that State in accordance with the provisions of the present Convention; The condition of Article III.4 (a) is simple. The import should have taken place on the basis of an import permit and an export or re-export document. The Management Authority should therefore be able to trace these documents before it can issue a re-export certificate. 132

136 Chapter 10 Trade in Specimens of Appendix I Species It must in addition require that the custom s endorsed copy of the import permit be presented together with the application for a re-export certificate in order to avoid it being presented for the re-export of other (illegal?) specimens. Where, in the case of Appendix I, no such import permit was issued and where none of the exemptions of Article VII apply, the re-export should not be authorized and the Management Authority should investigate the legality of the specimens. An important fact to establish is that the documents concerning the importation really concern the specimens to be re-exported in order to avoid the possibility that illegally imported specimens are being legalized. Article III.4 paragraph (b) a Management Authority of the State of re-export is satisfied that any living specimen will be so prepared and shipped as to minimize the risk of injury, damage to health or cruel treatment; and Article III.4, paragraph (c) a Management Authority of the State of re-export is satisfied that an import permit has been granted for any living specimen. The difference between the corresponding wording of Article III.2(d) and the provision of Article III.4(c) is awkward. In the case of export, the provision that an import permit must have been granted applies to all specimens and in the case of re-export only to living specimens. Because in the case of re-export the specimens have already been removed from the wild and subject to international trade, the authors of the Convention appear to have attached less importance to the subsequent fate of dead specimens and parts and derivatives and must have taken it that the Management Authority of the reexporting country would probably feel the same. In my opinion, this was a mistake. The guarantee, provided by the availability of an import permit that the specimens are not to be used for primarily commercial or detrimental purposes is not given to the Management Authority of the re-exporting country and where no such import permit was or will be issued this will lead to abuse. Introduction from the sea of Appendix-I specimens Article III, paragraph 5 The introduction from the sea of any specimen of a species included in Appendix I shall require the prior grant of a certificate from a Management Authority of the State of introduction. A certificate shall only be granted when the following conditions have been met: 133

137 Chapter 10 Trade in Specimens of Appendix I Species Article III.5, paragraph (a) a Scientific Authority of the State of introduction advises that the introduction will not be detrimental to the survival of the species involved; See comments under Article III.2 (a) on page 123 and III.3 (a) on page 126. Article III.5, paragraph (b) a Management Authority or Scientific Authority of the State of introduction is satisfied that the proposed recipient of a living specimen is suitably equipped to house and care for it; and See comments under Article III.3 (b) on page 127. Article III.5, paragraph (c) a Management Authority of the State of introduction is satisfied that the specimen is not to be used for primarily commercial purposes. See comments under Article III.3 (c) on page

138 Chapter 11 Trade in specimens of Appendix-II species Article IV, paragraph 1 All trade in specimens of species included in Appendix II shall be in accordance with the provisions of this Article. The different forms of trade are dealt with in the subsequent paragraphs: export in paragraphs 2 and 3, import in paragraph 4, re-export in paragraph 5 and the introduction from the sea in paragraphs 6 and 7. Export of Appendix-II specimens Article IV, paragraph 2 The export of any specimen of a species included in Appendix II shall require the prior grant and presentation of an export permit. An export permit shall only be granted when the following conditions have been met: (a) a Scientific Authority of the State of export has advised that such export will not be detrimental to the survival of that species; (b) a Management Authority of the State of export is satisfied that the specimen was not obtained in contravention of the laws of that State for the protection of fauna and flora; and (c) a Management Authority of the State of export is satisfied that any living specimen will be so prepared and shipped as to minimize the risk of injury, damage to health or cruel treatment. Article IV, paragraph 3 A Scientific Authority in each Party shall monitor both the export permits granted by that State for specimens of species included in Appendix II and the actual exports of such specimens. Whenever a Scientific Authority determines that the export of specimens of any such species should be limited in order to maintain that species through-

139 Chapter 11 Trade in Specimens of Appendix II Species out its range at a level consistent with its role in the ecosystems in which it occurs and well above the level at which that species might become eligible for inclusion in Appendix I, the Scientific Authority shall advise the appropriate Management Authority of suitable measures to be taken to limit the grant of export permits for specimens of that species. In addition to the non-detriment finding under paragraph 2(a), the provisions of Article IV.3 are essential for achieving the aims of the Convention with regard to the prevention of species becoming threatened with extinction as a result of utilization incompatible with their survival. Every transfer of a species from Appendix II to Appendix I can therefore be considered as an example of the failure of the Parties to fulfill their obligations under the Convention. The Scientific Authority should be able to assess the effects of trade on the populations of the species occurring in its country and must therefore be informed on any matter of relevance to that task. Unlike many other provisions, the text of paragraph 3 is rather detailed and adequately describes the obligation of the Scientific Authorities of exporting countries, i.e. countries of origin. This, however, does not make that task an easy one. Many countries of origin lack the necessary scientific data on the status of their animal and plant populations, which makes it impossible to calculate the effects thereon of different levels of exploitation. Impact of climate change Of relevance to the implementation of Article IV.3, but also to non-detriment findings for CITES listed species in general, is the effect of climate change on conservation. The Conference of the Parties therefore adopted the following decisions in 2010: Decision instructs the Animals and Plants Committees, given the implications of climate change for science-based decision-making, to identify the scientific aspects of the provisions of the Convention and of Resolutions of the Conference of the Parties that are actually or likely to be affected by climate change, report their findings, and make recommendations for further action in relation to the Convention and to Resolutions of the Conference of the Parties as appropriate, at the 62nd meeting of the Standing Committee. Decision instructs the Secretariat to request from the secretariats of other multilateral environmental agreements information on their activities that may be linked to climate change and CITES, and report to the Animals and Plants Committees and the Standing Committee. Decision instructs the Standing Committee to consider the reports of the Animals and Plants Committees and the Secretariat and report at the 16th meeting of the Conference of the Parties. 136

140 Chapter 11 Trade in Specimens of Appendix II species Significant trade review Resolution Conf. 2.6 (Rev.) was the result of the concerns expressed by various Parties, that trade in Appendices II and III animals and plants may be detrimental to the survival of certain species. The following of its recommendations are now contained in: Resolution Conf : if any Party deems that an Appendix-II or -III species is being traded in a manner detrimental to the survival of that species, it a) consult directly with the appropriate Management Authorities of the countries involved or, if this procedure is not feasible or successful, make use of the provisions of Article XIII to call upon the assistance of the Secretariat; b) make use of the options provided by Article XIV to apply stricter domestic measures particularly when re-export or transshipment, or trade with a State not party to the Convention is involved; or c) make use of the options provided by Article X when trade with a State not party to the Convention is involved. Resolution Conf. 4.7 noted that some Parties, exporting wild animals and plants listed in Appendix II, were unable to effectively implement Article IV.3 unilaterally and recognized that all Parties benefited from management of Appendix-II species that ensured the continued availability of these resources. The Resolution recommended that the Technical Committee: a) identify those Appendix-II species that are the subject of significant international trade, for which scientific information is insufficient to satisfy the requirements of Article IV.3, as determined by the range States; b) at the request of at least one of the countries involved and in collaboration with representatives of range States, importing States and organizations experienced in the management of wildlife, develop and negotiate measures to ensure that those requirements are satisfied; and c) encourage Parties to develop agreements with range States for the cooperative implementation of these measures. The Technical Committee proposed a procedure and a timetable for the implementation of Resolution Conf These were approved by the Conference of the Parties with Resolution Conf. 5.3, which instructed the Technical Committee to implement this procedure and timetable; charges the Secretariat to seek external funding to support the necessary work to be conducted by the IUCN Conservation Monitoring Centre, the work- 137

141 Chapter 11 Trade in Specimens of Appendix II Species shops and research projects; and invited the Parties and all organizations interested in the conservation and utilization of wildlife to provide the necessary financial support. Resolution Conf. 6.1 eliminated the Technical Committee and attributed the work related to the significant trade issue to the Animals Committee and the Plants Committee. The eighth meeting of the Conference of the Parties adopted a very important resolution on the trade in wild-caught animal specimens, which should lead to an improved implementation of the Convention for Appendix-II species. That Resolution Conf. 8.9 was amended at the 11th meeting of the Conference of the Parties and at the 12th meeting replaced by Resolution Conf The latter was amended at the 13th meeting of the Conference of the Parties and now is Resolution Conf (Rev. CoP13). The original preamble of Resolution Conf. 8.9 acknowledged that international concern had been focused on serious conservation problems which existed in the trade in wildcaught birds and recognized that further examination of these problems by the Animals Committee had revealed that these problems were representative of difficulties in the implementation of the Convention for animal species in general. Decision 9.33 directed the Secretariat to contract IUCN to coordinate, in collaboration with the UNEP World Conservation Monitoring Center, the conduct of the field studies required for Appendix-II species identified by the Animals Committee as being subject to significant levels of trade, and to raise the funds necessary for such studies. This provision was incorporated in Resolution Conf (Rev. CoP 13). Resolution Conf (Rev. CoP13) is based on the recognition that some States permitting export of Appendix II species are not effectively implementing Article IV, paragraphs 2 (a), 3 and 6 (a), and that, in such cases, measures necessary to ensure that the export of an Appendix-II species takes place at a level that will not be detrimental to the survival of that species, such as population assessments and monitoring programs, are not being undertaken, and that information on the biological status of many species is frequently not available. The Resolution reads as follows: RECALLING that Article IV, paragraph 2 (a), of the Convention requires, as a condition for granting an export permit, that a Scientific Authority of the State of export has advised that the export will not be detrimental to the survival of the species concerned; RECALLING that Article IV, paragraph 3, requires a Scientific Authority of each Party to monitor exports of Appendix-II species and to advise the Management Authority of suitable measures to be taken to limit such exports in order to maintain such species throughout their range at a level consistent with their role in the ecosystem; RECALLING also that Article IV, paragraph 6 (a), requires, as a condition for granting a certificate of introduction from the sea, that a Scientific Authority of the State of intro- 138

142 Chapter 11 Trade in Specimens of Appendix II species duction from the sea has advised that the introduction will not be detrimental to the survival of the species concerned; CONCERNED that some States permitting export of Appendix-II species are not effectively implementing Article IV, paragraphs 2 (a), 3 and 6 (a), and that, in such cases, measures necessary to ensure that the export of an Appendix-II species takes place at a level that will not be detrimental to the survival of that species, such as population assessments and monitoring programmes, are not being undertaken, and that information on the biological status of many species is frequently not available; RECALLING that the proper implementation of Article IV is essential for the conservation and sustainable use of Appendix-II species; NOTING the important benefits of the review of trade in specimens of Appendix-II species by the Animals and Plants Committees as set out in Resolution Conf. 8.9 (Rev.), adopted by the Conference of the Parties at its eighth meeting (Kyoto, 1992) and amended at its 11th meeting (Gigiri, 2000), referred to as the Review of the Significant Trade, and the need to clarify further and simplify the procedure to be followed; THE CONFERENCE OF THE PARTIES TO THE CONVENTION Conduct of the Review of Significant Trade DIRECTS the Animals and Plants Committees, in cooperation with the Secretariat and experts, and in consultation with range States, to review the biological, trade and other relevant information on Appendix-II species subject to significant levels of trade, to identify problems and solutions concerning the implementation of Article IV, paragraphs 2 (a), 3 and 6 (a), in accordance with the following procedure: Selection of species to be reviewed a) the Secretariat shall request the UNEP World Conservation Monitoring Centre to produce, within 90 days after each meeting of the Conference of the Parties, a summary from the CITES database of annual report statistics showing the recorded net level of exports for Appendix-II species over the five most recent years; Net level of exports means the total gross number of specimens exported from a range State minus the gross number imported by the same range State, based on the reported export and import data in the annual reports of the Parties. b) on the basis of recorded trade levels and information available to the Animals or Plants Committee, the Secretariat, Parties or other relevant experts, species of priority concern shall be selected for review by the Animals or Plants Committee (whether or not such species have been the subject of a previous review); c) in exceptional cases where new information indicates an urgent concern, the Animals or Plants Committee may add a species to the list of species of concern at another stage; 139

143 Chapter 11 Trade in Specimens of Appendix II Species Consultation with the range States concerning implementation of Article IV d) the Secretariat shall, within 30 days after the meeting of the Animals or Plants Committee at which species are selected, notify range States of the species selected, providing an explanation for this selection and requesting comments regarding possible problems of implementing Article IV identified by the Committee. Range States shall be given 60 days to respond; e) the Secretariat shall report to the Animals or Plants Committee on the response of the range States concerned, including any other pertinent information; f) when the Animals or Plants Committee, having reviewed the available information, is satisfied that Article IV, paragraph 2 (a), 3 or 6 (a), is correctly implemented, the species shall be eliminated from the review with respect to the State concerned. In that event, the Secretariat shall notify the Parties accordingly within 60 days; Compilation of information and preliminary categorization g) in the event that the species is not eliminated from the review in accordance with paragraph f) above, the Secretariat shall proceed with the compilation of information regarding the species; h) when necessary, consultants shall be engaged by the Secretariat to compile information about the biology and management of and trade in the species and shall contact the range States or relevant experts to obtain information for inclusion in the compilation; i) the Secretariat or consultants, as appropriate, shall summarize their conclusions about the effects of international trade on the selected species, the basis on which such conclusions are made and problems concerning the implementation of Article IV, and shall provisionally divide the selected species into three categories: 140 i) species of urgent concern shall include species for which the available information indicates that the provisions of Article IV, paragraph 2 (a), 3 or 6 (a), are not being implemented; ii) species of possible concern shall include species for which it is not clear whether or not these provisions are being implemented; and iii) species of least concern shall include species for which the available information appears to indicate that these provisions are being met; j) before the report of the Secretariat, or consultant, is considered by the Animals or Plants Committee, the Secretariat shall transmit it to the relevant range States, seeking comments and, where appropriate, additional information. Range States shall be given 60 days to respond;

144 Chapter 11 Trade in Specimens of Appendix II species Review of information and confirming of categorization by the Animals or Plants Committee k) the Animals or Plants Committee shall review the report of the Secretariat or the consultants and the responses received from the States concerned and, if appropriate, revise the preliminary categorization proposed; l) species of least concern shall be eliminated from the review. Problems identified in the course of the review that are not related to the implementation of Article IV, paragraph 2 (a), 3 or 6 (a), shall be addressed by the Secretariat in accordance with other provisions of the Convention and relevant Resolutions; Formulation of recommendations and their transmission to the range States m) the Animals or Plants Committee shall, in consultation with the Secretariat, formulate recommendations for the remaining species. These recommendations shall be directed to the range States concerned; n) for species of urgent concern, these recommendations should propose specific actions to address problems related to the implementation of Article IV, paragraph 2 (a), 3 or 6 (a). Such recommendations should differentiate between short-term and long-term actions, and may include, for example: i) the establishment of administrative procedures, cautious export quotas or temporary restrictions on exports of the species concerned; ii) the application of adaptive management procedures to ensure that further decisions about the harvesting and management of the species concerned will be based on the monitoring of the impact of previous harvesting and other factors; or iii) the conducting of taxon- and country-specific status assessments, field studies or evaluation of threats to populations or other relevant factors to provide the basis for a Scientific Authority s non-detriment finding, as required under the provisions of Article IV, paragraph 2 (a) or 6 (a). Deadlines for implementation of these recommendations should be determined by the Animals or Plants Committee. They must be appropriate to the nature of the action to be undertaken, and should normally be not less than 90 days but not more than two years after the date of transmission to the State concerned; o) for species of possible concern, these recommendations should specify the information required to enable the Animals or Plants Committee to determine whether the 141

145 Chapter 11 Trade in Specimens of Appendix II Species species should be categorized as either of urgent concern or of least concern. They should also specify interim measures where appropriate for the regulation of trade. Such recommendations should differentiate between short-term and long-term actions, and may include, for example: i) the conducting of taxon and country-specific status assessments, field studies or evaluation of threats to populations or other relevant factors; or ii) the establishment of cautious export quotas for the species concerned as an interim measure. Deadlines for implementation of these recommendations should be determined by the Animals or Plants Committee. They must be appropriate to the nature of the action to be undertaken, and should normally be not less than 90 days but not more than two years after the date of transmission to the State concerned; p) these recommendations shall be transmitted to the range States concerned by the Secretariat; Measures to be taken regarding the implementation of recommendations q) the Secretariat shall, in consultation with the Chairman of the Animals or Plants Committee, determine whether the recommendations referred to above have been implemented and report to the Standing Committee accordingly; r) where the recommendations have been met, the Secretariat shall, following consultation with the Chairman of the Standing Committee, notify the Parties that the species was removed from the process; s) when the Secretariat, having consulted with the Chairman of the Animals or Plants Committee, is not satisfied that a range State has implemented the recommendations made by the Animals or Plants Committee in accordance with paragraph n) or o), it should recommend to the Standing Committee appropriate action, which may include, as a last resort, a suspension of trade in the affected species with that State. On the basis of the report of the Secretariat, the Standing Committee shall decide on appropriate action and make recommendations to the State concerned, or to all Parties; t) the Secretariat shall notify the Parties of any recommendations or actions taken by the Standing Committee; u) a recommendation to suspend trade in the affected species with the State concerned should be withdrawn only when that State demonstrates to the satisfaction of the Standing Committee, through the Secretariat, compliance with Article IV, paragraph 2 (a), 3 or 6 (a); and v) the Standing Committee, in consultation with the Secretariat and the Chairman of the Animals or Plants Committee, shall review recommendations to suspend trade that have 142

146 Chapter 11 Trade in Specimens of Appendix II species been in place for longer than two years and, if appropriate, take measures to address the situation; Support to the range States URGES the Parties and all organizations interested in the conservation and sustainable use of wildlife to provide the necessary financial support or technical assistance to those States in need of such assistance to ensure that wild populations of species of fauna and flora subject to significant international trade are not subject to trade that is detrimental to their survival. Examples of such measures could include: a) training of conservation staff in the range States; b) provision of information and guidance to persons and organizations involved in the production and export of specimens of the species concerned; c) facilitation of information exchange among range States; and d) provision of technical equipment and support; and DIRECTS the Secretariat to assist with identification and communication of funding needs in the range States and with identification of potential sources of such funding; Monitoring, reporting and reintroduction of species into the review process DIRECTS the Secretariat, for the purpose of monitoring and facilitating the implementation of this Resolution and the relevant paragraphs of Article IV: a) to report at each meeting of the Animals or Plants Committee on the implementation by the range States concerned of the recommendations made by the Committee; and b) to maintain a register of species that are included in the review process set out in this Resolution and a record of progress with the implementation of recommendations; and Coordination of field studies DIRECTS the Secretariat, where appropriate, in consultation with the Chairman of the Animals or Plants Committee, to contract IUCN or other appropriate experts to coordinate, in collaboration with UNEP-WCMC, the conduct of the field studies required for Appendix-II species identified as being subject to significant levels of trade, and to raise the funds necessary for such studies; and 143

147 144 Chapter 11 Trade in Specimens of Appendix II Species Terms of reference for an Evaluation of the Review of Significant Trade Decision provided that the Animals and Plants Committees should draft terms of reference for an evaluation of the Review of Significant Trade, to be considered at the 13th meeting of the Conference of the Parties. This resulted in Decision (Rev. CoP14), with which the Conference of the Parties adopted Terms of reference for an evaluation of the Review of Significant Trade: Objectives 1. The objectives of the evaluation of the Review of Significant Trade are to: a) evaluate the contribution of the Review of Significant Trade to the implementation of Article IV, paragraphs 2 (a), 3 and 6 (a); b) assess the impact over time of the actions taken in the context of the Review of Significant Trade on the trade and conservation status of species selected for review and subject to recommendations, taking into consideration the possible effects of these measures on other CITES-listed species; c) formulate recommendations in view of the results and findings of the evaluation and the impact assessment; and d) prepare a document on the evaluation of the Review of Significant Trade and the resulting conclusions and recommendations for consideration at the first appropriate meeting of the Conference of the Parties. Process 2. The evaluation will commence immediately after the 14th meeting of the Conference of the Parties, contingent on the availability of sufficient funds to ensure its completion. 3. The Animals and Plants Committees will oversee the evaluation, which will be administered by the Secretariat. Consultants may be engaged to assist it in this regard. 4. A working group composed of members of the Animals and Plants Committees, Parties, the Secretariat and invited experts will be responsible for advising on the evaluation process, reviewing the findings of associated research and developing recommendations for wider consideration by the Parties. 5. The Secretariat will regularly report on the progress of the evaluation at meetings of the Animals and Plants Committees. 6. A final report, which may include proposed amendments to existing Resolutions or Decisions, or other recommendations, and which will incorporate the comments of the Animals and Plants Committees and of range States addressed in the report, will be submitted by the Chairmen of the Animals and Plants Committees for consideration at a

148 Chapter 11 Trade in Specimens of Appendix II species future meeting of the Conference of the Parties. The Chairman of the Animals or Plants Committee may submit an interim report to the Standing Committee when appropriate and considered useful. Content of the evaluation 7. The evaluation of the Review of Significant Trade should include the following activities: a) assess: i) the process used to select species for review (including the reliance on numerical data), and the species selected as a result; ii) the process and means used to compile and review information concerning the implementation of Article IV, paragraphs 2 (a), 3 and 6 (a), for the selected species (including communications with the range States), and the subsequent use of this information by the Animals and Plants Committees for the categorization of species and the issuance of recommendations; iii) the types and frequency of recommendations made; iv) the nature and rate of responses to recommendations, and problems identified; v) the use of the recommendations by range States as guidance for managing target species and other CITES-listed species with similar characteristics; vi) the nature and scale of the support provided to range States for implementing the recommendations, including field projects, financial aid and assistance in building local capacities; vii) the ongoing process to monitor and review the implementation of recommendations, having regard to differing points of view as to where this responsibility should lie; and viii) the impacts of the process on other aspects of CITES implementation, including how problems identified in the course of the review but not directly related to the implementation of Article IV, paragraphs 2 (a), 3 and 6 (a), were addressed; b) conduct case studies of a representative range of species and countries subject to recommendations to assess subsequent short- and long-term changes, and whether these could be attributed to the process, in: i) conservation status of the target taxa in the range States; ii) trade volumes and patterns of the target taxa, considering trade involving the range States subject to recommendations, other range States and non-range States; 145

149 Chapter 11 Trade in Specimens of Appendix II Species iii) production or management strategies for the target taxa; iv) market developments of conservation relevance (such as shifts in supply or demand); v) costs and benefits associated with the management of and trade in the target taxa (such as the effects of trade suspensions and export quotas, shift in trade to non- CITES species or increased illegal trade); vi) protection status of the target taxa within range States, and regulatory measures outside range States; vii) trade patterns, conservation status and management for other CITES-listed species that might be suitable substitutes for the target taxa; and viii) changes in conservation policies in range States; and c) analyze the information to assess the effectiveness, costs and benefits of the Review of Significant Trade as implemented so far, by reference to the cost of the process and the time it takes, and identify means to improve the contribution it makes to the objectives of the Convention by reducing the threats to wild species. The phrase 'effectiveness, costs and benefits' is intended to address issues such as whether or not the funds spent on the process give value for money comparable to that for other CITES activities, and whether the time-scale envisaged in the process is too long for species that are in rapid decline. Review of Significant Trade in Cistanche deserticola, Dioscorea deltoidea, Nardostachys grandiflora, Picrorhiza kurrooa, Pterocarpus santalinus, Rauvolfia serpentina and Taxus wallichiana Decision provides that the range States of Cistanche deserticola, Dioscorea deltoidea, Nardostachys grandiflora, Picrorhiza kurrooa, Pterocarpus santalinus, Rauvolfia serpentina and Taxus wallichiana, the regional representatives for Asia on the Plants Committee and the Secretariat should ensure the implementation of regionally coordinated actions to improve the management of the seven species and ensure that the trade therein is legal, sustainable and traceable. These measures could include, inter alia, the organization of regional capacity-building workshops, the improvement of methodologies to make non-detriment findings and to determine legal acquisition, the harmonization of management and compliance measures, and the development of incentives to prevent illegal trade. 146

150 Chapter 11 Trade in Specimens of Appendix II species Decision instructs the Secretariat to: a) subject to the availability of external funding and in collaboration with the range States, the regional representatives for Asia on the Plants Committee, the World Health Organization, traditional medicine associations and TRAFFIC, organize one or several regional capacity-building workshops, on the basis, inter alia, of the recommendations in document PC17 Inf. 10; and b) inform the Plants Committee on progress made at its 20th meeting. Import of Appendix-II species Article IV, paragraph 4 The import of any specimen of a species included in Appendix II shall require the prior presentation of either an export permit or a re-export certificate. Note the difference between Article III.3, concerning the import of Appendix-I specimens, and the above provision of Article IV.4 with regard to the import of Appendix-II specimens : the latter does not require the prior grant and presentation of an import permit. Article V does not prescribe import permits for Appendix-III specimens either. This implies that enforcement officers in importing countries, in many cases customs officers, must be in a position to judge the validity of the export permits and re-export certificates issued by other Parties and that of comparable documents issued by non- Parties. As this may pose serious enforcement difficulties, an important number of importing countries has adopted implementation legislation requiring import permits for all CITES and sometimes other species. This allows the Management Authorities of those importing countries to check the validity of the export and re-export documents presented by importers before or at the time of importation, and facilitates the work of control officers at the border by providing them with a document issued by the Management Authority of its own country which validity can be easily verified. Other advantages of such a system are that it provides the Management Authority with a better basis for maintaining the records of trade and the preparation of annual reports, prescribed in Article VIII.6 and 7, and for the issue of re-export certificates. Re-export of Appendix-II specimens Article IV.5 A re-export certificate shall only be granted when the following conditions have been met: 147

151 Chapter 11 Trade in Specimens of Appendix II Species Article IV.5, paragraph (a) a Management Authority of the State of re-export is satisfied that the specimen was imported into that State in accordance with the provisions of the present Convention; and As an import permit is not required for Appendix II-specimens, it is more difficult to trace the necessary information on their legal import than for Appendix-I specimens. Much depends on the implementation system adopted by the re-exporting country. A Management Authority will in the absence of an import permit only be able to comply with the condition of paragraph (a) if the export permit or re-export certificate presented at the time of importation, was retained by customs and transmitted to the Management Authority. The same is of course true for import permits, but there the Management Authority will, in addition, have a copy of every import permit issued and both the Management Authority and the importer will have a copy of every used, customs endorsed, permit. The legality of the importation can thus be proven more easily. Where no import permit is required, importers should be given a customs endorsed copy of the export or re-export document in order to enable them to prove the legal importation of specimens. The high volume of trade in specimens of many Appendix-II species makes it more complicated for a Management Authority to establish that a given specimen was legally imported. Whether or not the specimens to be re-exported (or products derived there from!) are indeed the same as those in the CITES documents claimed to have covered their importation is a difficult question to answer. The proper implementation of the provision concerned requires a thorough knowledge of the trade situation in the Management Authority s country with regard to CITES specimens and regular inspection of the premises of dealers, producers, etc. The use of marking systems (see Chapter 14) considerably enhances the possibilities for Management Authorities to follow specimens and corresponding documents at all production and trade stages. Article IV.5, paragraph (b) a Management Authority of the State of re-export is satisfied that any living specimen will be so prepared and shipped as to minimize the risk of injury, damage to health or cruel treatment. See Chapter 34 on the Transport of Live Specimens; page

152 Chapter 11 Trade in Specimens of Appendix II species Introduction from the sea of Appendix-II specimens Article IV, paragraph 6 The introduction from the sea of any specimen of a species included in Appendix II shall require the prior grant of a certificate from a Management Authority of the State of introduction. A certificate shall only be granted when the following conditions have been met: Article XIV.4 implies that a certificate for the introduction from the sea of Appendix-II specimens is not required with respect to specimens that are taken by ships registered in a State which is a Party to a treaty, convention or international agreement affording protection to marine species included in Appendix II and where that take is in accordance with that treaty, convention or international agreement. As Article XIV.4 specifically refers to any other treaty, convention or international agreement which is in force at the time of the coming into force of the present Convention, this provision only applies to treaties, conventions and international agreements which were in force on 1 July 1975 and not to those which entered into force thereafter. A Convention, older than CITES and affording protection to Appendix-II marine species is the 1946 International Convention for the Regulation of Whaling. All cetaceans regulated by that Convention, however, have meanwhile been included in Appendix I of CITES as commercial whaling is subject to zero quotas under the Whaling Convention. (a) a Scientific Authority of the State of introduction advises that the introduction will not be detrimental to the survival of the species involved; and See comments under Article III.2 (a) on page 123. (b) a Management Authority of the State of introduction is satisfied that any living specimen will be so handled as to minimize the risk of injury, damage to health or cruel treatment. See Chapter 34 on the Transport of Live Specimens; page 485. Article IV, paragraph 7 Certificates referred to in paragraph 6 of this Article may be granted on the advice of a Scientific Authority, in consultation with other national scientific authorities or, when appropriate, international scientific authorities, in respect of periods not exceeding one year for total numbers of specimens to be introduced in such period. This provision is in contradiction with Article VI.5, which provides that a separate permit or certificate shall be required for each consignment of specimens. Also see the note on Article XIV.4 in Chapter 28 under IWC; page

153 Chapter 11 Trade in Specimens of Appendix II Species Invasive alien species The North-American bullfrog is a known example of an invasive species in Europe and South-Korea. This is not an issue covered by the Convention and was first addressed by the 10th meeting of the Conference of the Parties, which adopted the following decisions: Decision provided that the Parties should: a) recognize that non-indigenous species can pose significant threats to biodiversity, and that fauna and flora species in commercial trade are likely to be introduced to new habitat as a result of international trade; b) consider the problems of invasive species when developing national legislation and regulations that deal with the trade in live animals or plants; c) consult with the Management Authority of a proposed country of import, when possible and when applicable, when considering exports of potentially invasive species, to determine if there are domestic measures regulating such imports; and d) consider the opportunities for synergy between CITES and the Convention on Biological Diversity, and explore appropriate co-operation and collaboration between the two Conventions on the issue of introductions of alien (invasive) species. With Decisions and the Conference of the Parties decided that formal liaison should be established by the Animals and Plants Committees with the IUCN/SSC Invasive Species Specialist Group between the 10th and 11th meetings of the Conference of the Parties to review species in international trade with respect to their biological potential for becoming invasive, and collaboration with them should take place in the development of databases on invasive species to identify the species which may become invasive if introduced. Decisions and provided that co-operation should be established by the Animals and Plants Committees with the IUCN/SSC Invasive Species Specialist Group in the implementation of their document "Draft IUCN Guidelines for the Prevention of Biodiversity Loss Due to Biological Invasion", of which parts are related to the trade in and transport of live specimens of species of wildlife. 150

154 Chapter 11 Trade in Specimens of Appendix II species The developments since were laid down in Resolution Conf (Rev. CoP14), which considers that alien species can pose significant threats to biodiversity, and that species of fauna and flora in commercial trade are likely to be introduced to new habitat as a result of international trade. The Conference of the Parties recommends that the Parties: a) consider the problems of invasive species when developing national legislation and regulations that deal with the trade in live animals or plants; b) consult with the Management Authority of a proposed country of import, when possible and when applicable, when considering exports of potentially invasive species, to determine whether there are domestic measures regulating such imports; and c) consider the opportunities for synergy between CITES and the Convention on Biological Diversity (CBD) and explore appropriate cooperation and collaboration between the two Conventions on the issue of introductions of alien species that are potentially invasive. 151

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156 Chapter 12 - Trade in specimens of Appendix-III species Article V, paragraph 1 All trade in specimens of species included in Appendix III shall be in accordance with the provisions of this Article. Subsequent paragraphs deal with the different forms of trade: 2 with export, 3 with import and 4 with re-export. Appendix III is intended to provide international assistance to individual Parties in regulating the control of trade, if any, of species within their jurisdiction. Export of Appendix-III specimens Article V, paragraph 2 The export of any specimen of a species included in Appendix III from any State which has included that species in Appendix III shall require the prior grant and presentation of an export permit. An export permit shall only be granted when the following conditions have been met: Article V.2, paragraph a) a Management Authority of the State of export is satisfied that the specimen was not obtained in contravention of the laws of that State for the protection of fauna and flora; and See remark on Article III.2.(b) on page 124. Article V.2, paragraph (b) a Management Authority of the State of export is satisfied that any living specimen will be so prepared and shipped as to minimize the risk of injury, damage to health or cruel treatment.

157 Chapter 12 Trade in Specimens of Appendix III Species An important difference with the export requirements for specimens of species in Appendices I and II is that for Appendix III there is no need for a non-detriment finding. It goes without saying, however, that it would be prudent for exporting countries, particularly for those having listed the species in Appendix III, to ensure that the species concerned are not exported at unsustainable levels. Import of Appendix-III specimens Article V, paragraph 3 The import of any specimen of a species included in Appendix III shall require, except in circumstances to which paragraph 4 of this Article applies, the prior presentation of a certificate of origin and, where the import is from a State which has included that species in Appendix III, an export permit. The export of Appendix-III specimens from other countries than those having listed the species is thus not subject to CITES border controls. Such controls, however, take place at the time of import, whereby it is necessary for the importing country to be able to establish the origin of specimens of such species. Article V provides for no less than four different documents for that purpose, one of which is an export permit similar to that to be presented at the export and import of Appendix-I and II specimens. Such an export permit is only required if the export is from the country having included the species in Appendix III. If the specimen is exported from another country, a certificate of origin is required and in the case of re-export, either a certificate that the specimen was processed or a certificate that it is being re-exported (i.e. a re-export certificate). The latter three documents only have to be presented at the time of import. I have already indicated several times that this system cannot work properly when only the population of an individual country is listed and other range states are not required to issue certificates of origin. Paragraph 3 does not indicate that the certificate of origin it provides for, is to be issued by the CITES Management Authority. With Resolution Conf. 5.8 the Conference of the Parties recognized that the practice of issuing such certificates of origin by customs or other authorities that are not designated as competent to issue Convention permits and certificates did not satisfy the requirements of Articles V and VI of the Convention and could diminish the effective implementation of the Convention. Article VI.3, however, prescribes that each permit or certificate shall contain the name and any identifying stamp of the Management Authority granting it and a control number assigned by it. This implies that no other authority than a CITES Management Authority is considered competent to issue CITES documents. Resolution Conf (Rev. CoP15) now covers the issue and recommends that: a) certificates of origin for export of specimens of species listed in Appendix III only be issued by a designated Management Authority or by the competent authority if trade is 154

158 Chapter 12 Trade in Specimens of Appendix III species from a State not a Party to the Convention, and that Parties not accept certificates of origin unless they are issued by such authorities; b) the provisions of Article V, paragraph 3, be understood to mean that a certificate of origin shall be valid for a period of not more than 12 months from the date on which it was granted, and that it may not be accepted to authorize export or import except during the period of validity; and c) after the expiry of the said 12-month period of validity, a certificate of origin be considered as void and of no legal value whatsoever. Re-export of Appendix-III specimens Article V, paragraph 4 In the case of re-export, a certificate granted by the Management Authority of the State of re-export that the specimen was processed in that State or is being reexported shall be accepted by the State of import as evidence that the provisions of the present Convention have been complied with in respect of the specimen concerned. The re-export of Appendix-III specimens is not subject to CITES border controls. The import into a Party, however, necessitates documentation from the re-exporting country. Unlike paragraph 3 for certificates of origin, paragraph 4, strangely enough, prescribes that the 'certificate that the specimen was processed or is being re-exported' is to be granted by the Management Authority of the State of re-export. Although the wording of paragraph 4 above seems to allow for the use of a different kind of certificate than that prescribed for the re-export of Appendix-I and -II specimens, it is advisable not to create such an additional certificate. The use of the same re-export certificate for all CITES specimens is less confusing and more practical. Introduction from the sea of Appendix-III specimens Article II, paragraph 3, limits the inclusion of species in Appendix III to those that are being subject to regulation within its jurisdiction. There is consequently no provision for introduction from the sea, which means the transportation into a State of specimens taken outside the jurisdiction of any State. This of course does not mean that marine species cannot be listed in Appendix III, but their regulation under CITES will be limited to trade in specimens caught within the jurisdiction of a Party. 155

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160 Chapter 13 - Permits and Certificates Article VI, paragraphs 1 to 6 1. Permits and certificates granted under the provisions of Articles III, IV and V shall be in accordance with the provisions of this Article. 2. An export permit shall contain the information specified in the model set forth in Appendix IV, and may only be used for export within a period of six months from the date on which it was granted. 3. Each permit or certificate shall contain the title of the present Convention, the name and any identifying stamp of the Management Authority granting it and a control number assigned by the Management Authority. 4. Any copies of a permit or certificate issued by a Management Authority shall be clearly marked as copies only and no such copy may be used in place of the original, except to the extent endorsed thereon. 5. A separate permit or certificate shall be required for each consignment of specimens. 6. A Management Authority of the State of import of any specimen shall cancel and retain the export permit or re-export certificate and any corresponding import permit presented in respect of the import of that specimen. Introduction Permits and certificates form the administrative basis for CITES trade controls and it is not surprising that they have been the subject of a lot of attention from the Conference of the Parties. Already at the first meeting of the Conference of the Parties, in 1976, the subject of harmonizing permit and certificate forms was briefly discussed. Although it was believed that models of permits and certificates would provide guidance to the Parties, it was de-

161 Chapter 13 Permits and Certificates cided that further experience was necessary before considering the standardization of export permits. (paragraph 7 of Resolution Conf. 1.5). The 1977 Special Working Session discussed the issue further and agreed that some degree of uniformity would be helpful. In 1979, it was considered that the harmonization of permit forms and procedures was a continuous task which would best be entrusted to a committee of technical experts designated for this purpose by the Parties. Resolution Conf. 2.5 recommended that the Parties volunteer technical experts to serve on a committee to guide the progressive harmonization of permit forms and procedures and that Parties which have not yet done so provide the Secretariat with copies of their permit forms for circulation to other Parties. In 1981, it was recommended that import permits for Appendix-I specimens, re-export certificates and other certificates issued by a Party under provisions of the Convention contain, as appropriate, similar information to that required for the export permit. This was the first step towards the development of one standard form for all CITES documents and Parties were recommended to adapt the contents and, to the extent practicable, the format of their export permits and re-export certificates to the standard model attached to the Resolution concerned (Resolution Conf. 3.6). In 1989, the Conference of the Parties directed the Secretariat to undertake an in-depth study of any necessary changes in the standard permit model contained in Resolution Conf. 3.6 and to make recommendations for consideration at the eighth meeting (Resolution Conf. 7.3). In 1992, at the eighth meeting of the Conference of the Parties, a Resolution was adopted on the basis of the requested study and recommendations from the Secretariat. This Resolution (Resolution Conf. 8.5) was, in 1994, replaced by Resolution Conf In 1997, the latter was in its turn replaced by Resolution Conf. 10.2, which was amended at the 11th meeting of the Conference of the Parties in Subsequent meetings of the Conference of the Parties made further amendments. Current provisions, recommendations and decisions The current Resolution is Resolution Conf (Rev. CoP15), which observes that false and invalid permits and certificates are used more-and-more often for fraudulent purposes and that appropriate measures are needed to prevent such documents from being accepted (from Resolution Conf. 7.3). It recognizes the need for Parties to be particularly vigilant regarding the issuance of permits and certificates for very valuable specimens and specimens of species included in Appendix I. 158

162 Chapter 13 Permits and Certificates It recognizes that permits and certificates may be issued in paper, electronic or both formats, but that there is no obligation on Parties to use electronic formats. It also recognizes that Parties issuing permits or certificates in electronic formats will need to issue them also in paper format unless specific agreement has been reached with other affected Parties. It considers the need to improve the standardization of permits and certificates with international norms and standards (from Resolution Conf. 7.5). It notes that the CITES electronic permitting toolkit (see the section on that issue later in this Chapter) provides guidance to Parties on common internationally recognized information exchange formats, protocols and standards, and electronic signatures and that it will require updates and revisions to reflect the on-going development of international standards. It recognizes the need to adopt the principles outlined in the CITES electronic permitting toolkit to facilitate the exchange of information among national Management Authorities. It recognizes that the issuance of CITES permits and certificates serves as a certification scheme for assuring that trade is not detrimental to the survival of species included in the Appendices. It is conscious that the data carried on permits and certificates must supply maximum information, as much for export as for import, to allow verification of the conformity between the specimens and the document (from Resolution Conf. 7.5). It recognizes that the Convention provides no guidance about the acceptability of an export permit whose period of validity expires after the specimens have been exported but before the permit has been presented for import purposes. It considers that no provision exists to establish the maximum time validity of import permits, and that it is necessary to establish a time validity appropriate to guarantee compliance with the provisions of Article III, paragraph 3, of the Convention. It recalls that Articles III, IV and V of the Convention provide that trade in any specimen of a species included in its Appendices requires the prior grant and presentation of the relevant document. It also recalls that Parties are obliged, under Article VIII, paragraph 1 (b), of the Convention, to provide for the confiscation or return to the State of export of specimens traded in violation of the Convention. It notes that the efforts of importing countries to fulfil their obligations under Article VIII, paragraph 1 (b), may be seriously obstructed by the retrospective issuance of permits or certificates for specimens having left the exporting or re-exporting country without such documents, and that declarations about the validity of documents that do not meet the requirements of the Convention are likely to have a similar effect. It considers that the retrospective issuance of permits and certificates has an increasingly negative impact on the possibilities for properly enforcing the Convention and leads to the creation of loopholes for illegal trade. 159

163 Chapter 13 Permits and Certificates It also considers that Article VII, paragraph 7, of the Convention provides that under certain circumstances a Management Authority of any State may waive the requirements of Articles III, IV and V and allow the movement without permits or certificates of specimens which form part of a travelling zoo, circus, menagerie, plant exhibition or other travelling exhibition provided that the specimens are in either of the categories specified in paragraph 2 or 5 of this Article. It expresses its desire that this exemption not be used to avoid the necessary measures for the control of international trade in specimens listed in the Appendices to the Convention. The Conference of the Parties recognizes that the trade in many biological samples, because of their special nature or because of the special purpose of such trade, requires expedited processing of permits and certificates to allow for the timely movement of shipments an d recalls that, in accordance with Article VIII, paragraph 3, Parties are required to ensure that specimens shall pass through any formalities required for trade with a minimum of delay. It further recognizes that Article VII includes special provisions reducing the level of control on trade in specimens that were acquired before the provisions of the Convention applied to them and specimens that were bred in captivity or artificially propagated. It notes the need to develop simplified procedures that are compatible with the obligations of Parties to the Convention on Biological Diversity. The operative paragraphs of Resolution Conf.12.3 (Rev. CoP15) are as follows: The Conference of the Parties to the Convention I. Standardization of CITES permits and certificates AGREES that: a) to fulfil the requirements of Article VI and relevant Resolutions, export and import permits, re-export and pre-convention certificates, certificates of origin and certificates of captive breeding and artificial propagation (except where phytosanitary certificates are used for this purpose) should include all the information specified in Annex 1 of the present Resolution, see page 182; b) Permits and certificates may be issued in paper format or electronic format provided all Parties involved have agreed with the electronic format; c) every form, whether issued in an electronic or paper format, should be issued in one or more of the working languages of the Convention (English, Spanish or French) and in the national language if it is not one of the working languages; d) every form should indicate which type of document it is (e.g. import or export permit, re-export or pre-convention certificate, etc.); e) if a permit or certificate form, whether issued in an electronic or paper format includes a place for the signature of the applicant, the absence of the handwritten signa- 160

164 Chapter 13 Permits and Certificates ture or in case of electronic forms any electronic equivalent should render the permit or certificate invalid; and f) if an Annex is attached to a permit or certificate as an integral part of it, this and the number of pages should be clearly indicated on the permit or certificate, and each page of the Annex should include the following: i) the number of the permit or certificate and its date of issue; and ii) the signature, handwritten, and the stamp or seal, preferably embossed, or their electronic equivalent, of the authority issuing the document; and RECOMMENDS that: a) Parties wishing to modify their permit and certificate forms, to reprint existing documents or to introduce new documents, first ask the Secretariat for advice; b) Parties adapt the contents and, to the extent practicable, the format of their permits and certificates to the standard form attached to the present Resolution as Annex 2, see page 184; c) Parties using or developing electronic permits and certificates, adopt the standards recommended in the CITES electronic permitting toolkit; d) the Secretariat, subject to availability of external funding, organize the printing of permit and certificate forms on security paper for Parties that request it; e) to avoid abusive or fraudulent use, the Parties not use forms for their internal-trade certificates that are identical to CITES forms; f) for tracking and annual reporting purposes, permit and certificate numbers be limited, if possible, to 14 characters in the format: WWxxYYYYYY/zz where WW represents the last two digits of the year of issuance; xx represents the two-letter ISO code of the country; YYYYYY represents a six-digit serial number; and zz represents two digits or letters, or a combination of a digit and a letter, that a Party may use for national informational purposes; 161

165 Chapter 13 Permits and Certificates g) Parties state, on each of their permits and certificates, the purpose of the transaction using the following codes: Code T Z G Q S H P M E N B L Description Commercial Zoo Botanical garden Circus or travelling exhibition Scientific Hunting trophy Personal Medical (including biomedical research) Educational Reintroduction or introduction into the wild Breeding in captivity or artificial propagation Law enforcement / judicial / forensic Decision (Rev. CoP15) provides that the Standing Committee shall re-establish an intersessional joint working group to review the use of purpose-of-transaction codes by Parties, with the following terms of reference: a) the working group shall be composed of Parties from as many of the six CITES regions as possible, and appropriate intergovernmental and non-governmental organizations, with expertise in the issuance of CITES documents and use of purpose-of-transaction codes for evaluation within the permit issuance process and trade data analysis; b) the working group shall, communicating through electronic media, focus on clearly defining purpose-of-transaction codes to encourage their consistent use, and consider the possible elimination of current codes or the inclusion of new ones; c) in evaluating the use and definition of purpose-of-transaction codes, the working group should take into account any difficulties of implementation by Parties and the potential resource implications of inclusion of any new codes or deletion of current purpose-of-transaction codes; and d) the working group should submit a report and any recommendations for amendments to Resolution Conf (Rev. CoP15), or to any revision thereof, at the 62nd meeting of the Standing Committee, which shall report, with its recommendations, at the 16th meeting of the Conference of the Parties. This is a typical example of redundant red tape. The purpose of a transaction is only relevant for imports of Appendix I specimens from the country of origin and live Appendix I specimens from a re-exporting country. The use of purpose codes on export permits and 162

166 Chapter 13 Permits and Certificates re-export certificates only causes confusion because the purposes of the (re-)exporter and the importer will be different. The export of Appendix I specimens can for example be for primarily commercial purposes but the import may not. For Appendix II and III specimens the purpose of any transaction, including import, is completely irrelevant for CITES purposes. The fact that exporting countries may want to know what their animals and plants are being used for in importing countries is not facilitated by the use of purpose codes because in the absence of import permits for Appendices II and III specimens - they will not have access to information about the purpose of import. The fact that some countries, which require import permits for all CITES specimens, refuse (re-)export documents because they contain a different purpose code than the purpose import indicated by the importer is part of the reason for yet another working group. h) The term hunting trophy, as used in this Resolution, means a whole animal, or a readily recognizable part or derivative of an animal, specified on any accompanying CITES permit or certificate, that: i) is raw, processed or manufactured; ii) was legally obtained by the hunter through hunting for the hunter s personal use; and iii) is being imported, exported or re-exported by or on behalf of the hunter, as part of the transfer from its country of origin, ultimately to the hunter's State of usual residence. i) the following codes be used to indicate the source of the specimens: Code Source W Specimens taken from the wild. R Ranched specimens: specimens of animals reared in a controlled environment, taken as eggs or juveniles from the wild, where they would otherwise have had a very low probability of surviving to adulthood. D Appendix-I animals bred in captivity for commercial purposes in operations included in the Secretariat's Register, in accordance with Resolution Conf (Rev. CoP15), and Appendix-I plants artificially propagated for commercial purposes, as well as parts and derivatives thereof, exported under the provisions of Article VII, paragraph 4, of the Convention. A Plants that are artificially propagated in accordance with Resolution Conf (Rev. CoP15), as well as parts and derivatives thereof, exported under the provisions of Article VII, paragraph 5 (specimens of species included in Appendix I that have been propagated artificially for non-commercial purposes and specimens of species included in Appendices II and III). C Animals bred in captivity in accordance with Resolution Conf (Rev.), as well as parts and derivatives thereof, exported under the provisions of Article VII, paragraph 5. F Animals born in captivity (F1 or subsequent generations) that do not fulfil 163

167 Chapter 13 Permits and Certificates U I O the definition of bred in captivity in Resolution Conf (Rev.), as well as parts and derivatives thereof. Source unknown (must be justified) Confiscated or seized specimens Pre-Convention specimens; j) the terms and codes used on permits and certificates to indicate the type of specimen being traded conform to those provided in the Secretariat s most recent Guidelines for the preparation and submission of CITES annual reports and that the units of measurement used also conform to these Guidelines; k) all Parties consider the development and use of electronic permits and certificates; l) all Parties, when using paper permits and certificates, consider the use of security paper; m) Parties that do not already do so affix a security stamp to each permit and certificate; n) when a security stamp is affixed to a permit or certificate, it be cancelled by a signature and a stamp or seal, preferably embossed and the number of the stamp also be recorded on the document; o) when issuing permits and certificates, the Parties follow the standard nomenclatures adopted by the Conference of the Parties to indicate the names of species [see Resolution Conf (Rev. CoP15)]; p) Parties that have not yet done so communicate to the Secretariat the names of the persons empowered to sign permits and certificates, as well as three specimens of their signatures, and that all the Parties communicate, within one month of any change thereto, the names of persons who have been added to the list of those already empowered to sign, the names of persons whose signatures are no longer valid and the dates the changes took effect; q) when the means of transport used requires a bill of lading or an air way-bill, the number of such document be stated on the permit or certificate; r) each Party inform the other Parties, direct or through the Secretariat, of any stricter internal measures it has taken under Article XIV, paragraph 1 (a), of the Convention, and that, when a Party is informed of this, it refrain from issuing permits and certificates that run counter to these measures; s) when a permit or certificate has been cancelled, lost, stolen or destroyed, the issuing Management Authority immediately inform the Management Authority of the country of destination, as well as the Secretariat regarding commercial shipments; and 164

168 Chapter 13 Permits and Certificates t) when a permit or certificate is issued to replace a document that has been cancelled, lost, stolen or destroyed, or that has expired, it indicate the number of the replaced document and the reason for the replacement; II. Export permits and re-export certificates AGREES that a re-export certificate should also specify: a) the country of origin, the number of the export permit of the country of origin and its date of issue; and b) the country of last re-export, the number of the re-export certificate of that country and its date of issue; or if the case arises: c) justification for the omission of any of the aforementioned information; RECOMMENDS that: a) exporters be encouraged to apply for permits shortly before the time of intended export; This recommendation is particularly useful where a country has an export quota and exporters apply for permits without even having acquired the specimens or found a buyer. But also in other cases the speculative application for permits should be prevented in order to avoid reporting on trade that never took place. b) Management Authorities require accurate information about the number or quantity of specimens to be exported under each permit and, as far as possible, avoid the issuance of permits where the numbers or quantities do not accurately reflect what will actually be exported; c) in cases where a replacement is requested for a permit that has not been used, the replacement be issued only if the original has been returned to the issuing authority, unless the original is reported as lost. In the latter case, the issuing Management Authority should notify the Management Authority of the country of destination that the original permit has been cancelled and replaced; d) if an exporter claims to have used a permit to export a smaller number or quantity of specimens than the amount authorized on the export permit, and requests another permit to export the remainder, the Management Authority obtain proof of the number or quantity already exported before issuing any new permit (such as a copy of the validated export permit or confirmation from the Management Authority of the country of destination of the number or quantity of specimens that were imported using the original permit); 165

169 Chapter 13 Permits and Certificates e) exported specimens and re-exported specimens not appear on the same document, unless it is clearly indicated which specimens are being exported and which re-exported; f) when re-export certificates are issued for specimens whose form has not changed since being imported, the unit of measure used be the same as that used on the permit or certificate accepted when they were imported; g) the provisions of Article III, paragraph 3, Article IV, paragraph 4, Article V, paragraph 3, and Article VI, paragraph 2, be understood to mean that an export permit or re-export certificate shall be valid for a period of no more than six months from the date on which it was granted and that it may not be accepted to authorize export, re-export or import except during the period of validity; Article VI.2 only concerns export permits and limits their time validity of six months to the export as such. The above paragraph extends this provision to re-export certificates and by recommending that the import should also take place before the export permit or re-export certificate expires. The latter is in my view not useful and unnecessarily limit s the period of time during which an exporter can ship his goods. Paragraph g) does not refer to Article V, paragraph 4. It therefore does not recommend a time limit for the validity of certificates granted for the re-export of processed specimens of Appendix III species. For the re-export of caviar, see Chapter 56, Resolution Conf (Rev. CoP14) provides that: h) no re-export of caviar take place more than 18 months after the date of issuance of the relevant original export permit. For that purpose re-export certificates should not be valid beyond that 18-month period. i) Parties supply to UNEP-WCMC directly or to the Secretariat copies of all export permits and re-export certificates issued to authorize trade in caviar, no longer than one month after they have been issued, for inclusion in the UNEP- WCMC caviar trade database; and j) Parties consult the UNEP-WCMC caviar trade database prior to the issuance of re-export certificates; h) after the expiry of the said six-month period of validity, an export permit or re-export certificate be considered as void and of no legal value whatsoever, except in the case referred to in section XI relating to timber species; i) no export permit or re-export certificate be issued for a specimen known to have been acquired illegally, even if it has been imported in accordance with the national legislation, unless the specimen has previously been confiscated; 166

170 Chapter 13 Permits and Certificates j) Parties not authorize the import of any specimen if they have reason to believe that it was not legally acquired in the country of origin; This implies that an importing country should reject an export permit or re-export certificate which can only be issued if the specimens were legally acquired. To recommend that importing countries second-guess such documents without recommending consultation with the issuing authority is in my opinion inappropriate. It is further not much of an assurance for importers, who should be able to count on the decisions of CITES Management Authorities in (re-)exporting countries and the validity of the documents they issue (unless such documents have been tampered with of course). k) Parties verify the origin of Appendix-I specimens to avoid issuing export permits when the use is for primarily commercial purposes and the specimens did not originate in a CITES-registered breeding operation; and This recommendation could have been formulated better. Use for primarily commercial purposes should only concern the purpose of import. The limitation to the issuance of export permits for specimens from registered breeding operations is inappropriate because it ignores the export from registered nurseries and pre-convention specimens. l) as far as possible, inspections of documents and shipments be conducted at the time of export. This should be regarded as essential for shipments of live animals; AGREES that, in the case of plant specimens that cease to qualify for an exemption from the provisions of CITES under which they were exported from their country of origin, the country of origin is deemed to be the first country in which the specimens cease to qualify for the exemption; and This is difficult to understand. Hybrids and cultivars exported under annotations exempting them from CITES controls when they are packed in a certain way, or meet other conditions, see page 563, are often re-exported in a way that does not meet the criteria for the exemption. For those plants to then retroactively become subject to CITES controls, also in the country of origin, is inappropriate. This is also the case for plants grown from imported material that is not covered by the Convention. In the absence of CITES documentation, the country of origin of a particular plant will often be unknown. Even when that country is known, it is quite meaningless for it to become the country where the exemption ceases to exist. The exemption should logically cease to exist at the moment the criteria for it cease to exist. This was therefore much better addressed in a repealed provision of Resolution Conf which determined that specimens that cease to qualify for an exemption from the provisions of CITES, under which they were legally exported and imported, are deemed to originate in the country in which they cease to qualify for the exemption. But it is also difficult to explain that plants grown from seeds that are not subject to CITES controls become CITES-specimens as soon as the seed has germinated. 167

171 Chapter 13 Permits and Certificates AGREES further that Parties may in such instances, and if considered useful, add the following text in block 5 of re-export certificates: Legally imported under an exemption from the provisions of CITES' and additionally it may be stated to which exemption this refers; A re-export permit must provide details of the earlier export permit. In the absence thereof the certificate should be rejected by the importing country. To only agree that Parties may, if they consider it useful, include the above text in box 5 is inappropriate. They must say something to explain the absence of an export permit. In the case of reexport of a plant grown from imported and exempted seed, the explanation should indicate that rather than the suggested text. III. Import permits AGREES that an import permit for specimens of species included in Appendix I may carry, among other things, certification that the specimens will not be used for primarily commercial purposes and, in the case of live specimens, that the recipient has suitable facilities to house and care for them; and The import permit must of course carry the suggested information. In the absence thereof an exporting country might not issue an export permit, or a re-exporting country might not issue a re-export certificate for live specimens. The purpose code on the import permit should make it clear that the purpose is not primarily commercial. It is worth recommending that an Appendix I import permit specifies that the intended use of the specimen(s) concerned cannot be changed without prior agreement from the issuing authority. RECOMMENDS that: a) the provisions of Article III, paragraphs 2 and 4, be understood to mean that an import permit shall be valid for a period of not more than 12 months from the date on which it was granted and that it may not be accepted to authorize import except during the period of validity; and b) after the expiry of the said 12-month period of validity, an import permit be considered as void and of no legal value whatsoever; The result of the restricted time validity of export permits and re-export certificates to six months and that of import permits to 12 months is as follows: The import permit, which is required for the issue of an export permit for any Appendix-I specimen and for the issue of a re-export certificate for live Appendix-I specimens, may be of longer validity than the corresponding export permit or re-export certificate to be granted. It can, in accordance with the recommendation in paragraph II g), not be used for import if at the time of its presentation for that purpose, the export permit or re-export certificate was issued more than six months ago. 168

172 Chapter 13 Permits and Certificates In case the import permit has, at the time of issue of the corresponding export permit or re-export certificate, a remaining time validity of less than six months, the time validity of the export permit or re-export certificate should be adapted to that of the import permit. IV. Pre-Convention certificates AGREES that a pre-convention certificate should also specify: a) that the specimen covered by the certificate is pre-convention; and This is normally clear from the source code. b) the date of acquisition of the specimen as defined in Resolution Conf adopted at the 13th meeting of the Conference of the Parties; See page 215 for the text of Resolution Conf V. Certificates of origin RECOMMENDS that: a) certificates of origin for export of specimens of species listed in Appendix III only be issued by a designated Management Authority or by the competent authority if trade is from a State not a Party to the Convention, and that Parties not accept certificates of origin unless they are issued by such authorities; The recommendation with regard to non-party States is strangely enough only made in this section of the Resolution and not in those regarding other documents. This is, however, adequately covered in Article X of the Convention, see Chapter 20; page 339. b) the provisions of Article V, paragraph 3, be understood to mean that a certificate of origin shall be valid for a period of not more than 12 months from the date on which it was granted, and that it may not be accepted to authorize export or import except during the period of validity; and c) after the expiry of the said 12-month period of validity, a certificate of origin be considered as void and of no legal value whatsoever; VI. Travelling-exhibition certificates RECOMMENDS that: a) each Party issue a travelling-exhibition certificate for CITES specimens belonging to a travelling exhibition based in its State, registered with the Management Authority and wishing to transport specimens of CITES species to other States for exhibition purposes 169

173 Chapter 13 Permits and Certificates only, on the condition that they were legally acquired and will be returned to the State in which the exhibition is based and that they were: i) acquired before 1 July 1975 or before the date of inclusion of the species in any of the Appendices of the Convention; ii) bred in captivity as defined in Resolution Conf (Rev.); or See page 495. iii) artificially propagated as defined in Resolution Conf (Rev. CoP15); See page 566. b) travelling-exhibition certificates should be based on the model included in Annex 3 of the present Resolution. See pages 187 to189. They should be printed in one or more of the working languages of the Convention (English, Spanish or French) and in the national language if it is not one of these; c) travelling-exhibition certificates should contain the purpose code Q and include in block 5, or in another block if the model form is not used, the following language: "The specimen/s covered by this certificate may not be sold or otherwise transferred in any State other than the State in which the exhibition is based and registered. This certificate is non-transferable. If the specimen/s dies/die, is/are stolen, destroyed, lost, sold or otherwise transferred, this certificate must be immediately returned by the owner to the issuing Management Authority"; d) a separate travelling exhibition certificate must be issued for each live animal; e) for travelling exhibitions of specimens other than live animals, the Management Authority should attach an inventory sheet that contains all of the information in blocks 9 to 16 of the model form for each specimen; f) travelling-exhibition certificates should be valid for not more than three years from the date on which they were granted to allow multiple imports, exports and re-exports of the individual specimens that they cover; g) Parties consider such travelling-exhibition certificates as proof that the specimens concerned have been registered with the issuing Management Authority and allow the movement of such specimens across their borders; h) at each border crossing, Parties endorse travelling-exhibition certificates with an authorized stamp and signature by the inspecting official and allow the certificates to remain with the specimens; 170

174 Chapter 13 Permits and Certificates i) Parties check travelling exhibitions closely, at the time of export/re-export and import, and note especially whether live specimens are transported and cared for in a manner that minimizes the risk of injury, damage to health or cruel treatment; j) Parties require that specimens be marked or identified in such a way that the authorities of each State into which an exhibition enters can verify that the travelling-exhibition certificates correspond to the specimens being imported; k) when, during a stay in a State, an animal in possession of an exhibition gives birth, the Management Authority of that State be notified and issue a Convention permit or certificate as appropriate; l) when, during a stay in a State, a travelling-exhibition certificate for a specimen is lost, stolen or accidentally destroyed, only the Management Authority which has issued the document may issue a duplicate. This duplicate paper certificate will bear the same number, if possible, and the same date of validity as the original document, and contain the following statement: "This certificate is a true copy of the original; and m) Parties include in their annual reports a list of all travelling-exhibition certificates issued in the year concerned; VII. Phytosanitary certificates RECOMMENDS that: a) any Party having considered the practices governing the issue of its phytosanitary certificates for export of artificially propagated Appendix-II specimens, and having determined that such practices provide adequate assurance that the specimens are artificially propagated [as defined in Resolution Conf (Rev. CoP15)], see page 566, may consider these documents as certificates of artificial propagation in accordance with Article VII, paragraph 5. Such certificates must include the scientific name of the species and the type and quantity of the specimens and bear a stamp, seal or their electronic equivalent, or other specific indication stating that the specimens are artificially propagated as defined by CITES; b) any Party using phytosanitary certificates as certificates of artificial propagation inform the Secretariat and provide copies of the certificates, stamps, seals, etc. that are used; and c) phytosanitary certificates be used exclusively for the purpose of export from the country of artificial propagation of the specimens concerned; and INSTRUCTS the Secretariat to notify the Parties when any Party confirms that it issues phytosanitary certificates for export of artificially propagated plants of Appendix-II species; 171

175 Chapter 13 Permits and Certificates VIII. Permits and certificates for species subject to quotas RECOMMENDS that: a) when a Party has voluntarily fixed national export quotas for specimens of species included in Appendix I, for non-commercial purposes, and/or in Appendices II and III, it inform the Secretariat of the quotas before issuing export permits and of any changes thereto as soon as they are made; Paragraph 15 of the Guidelines for the management of nationally established export quotas in Resolution Conf (Rev. CoP15), see page 516, indicates that this information can be provided at any time, but, as far as possible, should be communicated at least 30 days before the start of the period to which the export quota relates. Paragraph 16 provides that if a Party establishes an annual export quota for a period other than a calendar year, it should indicate the period to which the quota applies when communicating it to the Secretariat. b) each export permit issued for specimens of a species subject to an annual export quota, whether established nationally or by the Conference of the Parties, indicate the total quota that has been established for the year and include a certification that the quota is being complied with. For this purpose Parties should specify the total number or quantity of specimens already exported in the current year (including those covered by the permit in question) and the export quota for the species and specimens that are subject to the quota; and c) Parties send to the Secretariat copies of permits, electronic and paper, issued for species subject to quotas if so requested by the Conference of the Parties, the Standing Committee or the Secretariat; IX. Permits and certificates for crocodilian specimens RECOMMENDS that: a) when trade in tagged crocodilian skins is authorized, the same information as is on the tags be given on the permit or certificate; b) in the case of crocodilian species subject to quotas approved by the Conference of the Parties, no permit or certificate for skins be issued before the skins are tagged in accordance with the requirements of the issuing Management Authority and their sizes are recorded; c) in the event of mismatches of information within a permit or certificate for crocodilian skins, the Management Authority of the importing Party immediately contact its counterpart in the exporting/re-exporting Party to establish whether this was a genuine error arising from the volume of information required by the present Resolution and Resolution Conf (Rev. CoP15), see page 200, and that, if this is the case, every effort be made to avoid penalizing those involved in the transaction; 172

176 Chapter 13 Permits and Certificates d) for small crocodilian leather products, Parties consider measures to alleviate the administrative burdens associated with this trade through simplified procedures to issue permits and certificates as provided in Part XII of this Resolution; and e) for small crocodilian leather products, Parties that require import permits as a stricter domestic measure should review these requirements in order to determine whether they are effective in achieving the objectives of the Convention to ensure that trade in wild fauna and flora species is not detrimental to their survival; X. Permits and certificates for coral specimens RECOMMENDS that: a) on permits and certificates issued to authorize trade in specimens of hard corals of the genera included in the most recent CITES list of Coral taxa where identification to genus level is acceptable, where the species cannot be readily determined, the specimens may be recorded at the genus level. This list is maintained by the Secretariat and may be amended with the concurrence of the Animals Committee; At the time of entry into force of this Resolution (23 June 2010), the following, most recent list, had been published in Notification to the Parties No. 2010/014: Number Taxa of species in the genus Acanthastrea 10 Acropora 127 Agaricia 7 Alveopora 12 Anacrapora 5 Astreopora 11 Balanophyllia 56 Barabattoia 3 Caulastrea 4 Coscinaraea 9 Ctenactis 3 Cyphastrea 7 Dendrophyllia 21 Distichopora 23 Echinophyllia 8 Echinopora 9 Euphyllia (dead) 9 Favia 18 Favites 9 Fungia 25 Number Taxa of species in the genus Goniastrea 8 Goniopora 20 Leptastrea 6 Leptoseris 14 Lobophyllia 7 Madracis 15 Millepora 17 Montastrea 9 Montipora 56 Mussissmillia 3 Mycetophyllia 5 Oculina 9 Oxypora 3 Pavona 17 Pectinia 5 Physogyra (dead) 2 Platygyra 9 Plerogyra (dead) 4 Pocillopora 7 173

177 Chapter 13 Permits and Certificates b) on permits and certificates for trade in specimens that are readily recognizable as coral rock [as defined in Resolution Conf (Rev. CoP15) Annex], where the genus cannot be readily determined, the scientific name for the specimens should be Scleractinia ; c) any Party wishing to authorize export of coral rock identified to ordinate level only should, in view of the inability to make a non-detriment finding for coral rock pursuant to Article IV, paragraph 2 (a), apply the provisions of Article IV, paragraph 3; d) Parties that authorize export of coral rock should: i) establish an annual quota for exports and communicate this quota to the Secretariat for distribution to the Parties; and ii) through their Scientific Authorities, make an assessment (which would be available to the Secretariat on request), based on a monitoring programme, that such export will not affect the role that coral rock has in ecosystems affected by the extraction of such specimens; e) on permits and certificates for trade in worked specimens of black coral, where the species cannot be readily determined, the specimens may be recorded at the genus level and, where the genus cannot be readily determined, the scientific name for the given specimens should be Antipatharia ; and f) raw black coral and live black coral should continue to be identified in trade to species level; Decision instructs the Secretariat to, subject to the availability of external funds, commission the development of guidance on the identification of worked specimens of black coral (Antipatharia) in trade at species, genus and higher taxonomic level. Decision instructs the Animals Committee to: a) identify existing coral reference materials that could be adopted as standard nomenclatural references for CITES-listed corals; and b) update its list of coral taxa for which identification to genus level is acceptable, but which should be identified to species level where feasible, and provide the updated list to the Secretariat for dissemination. Decision instructs the Secretariat to, upon receiving the updated list from the Animals Committee, transmit this information to the Parties through a Notification to the Parties, and by publishing the list on the CITES website. 174

178 Chapter 13 Permits and Certificates XI. Permits and certificates for timber species included in Appendices II and III with the annotation Logs, sawn wood and veneer sheets RECOMMENDS that the validity of the export permit or re-export certificate may be extended beyond the normal maximum of six months after the date of issue, on the condition that: a) the shipment has arrived in the port of final destination before the date of expiration indicated on the permit or certificate and is being held in Customs bond (i.e. is not considered as imported); b) the time extension does not exceed six months from the date of expiration of the permit or certificate and no previous extension has been granted; c) the appropriate enforcement personnel has included the date of arrival and the new date of expiration in the box relating to special conditions, or an equivalent place, on the export permit or re-export certificate, certifying the modification with an official stamp or seal and signature or their electronic equivalent; d) the shipment is imported for consumption from the port where it was located when the extension was approved and before the new date of expiration; and e) a copy of the export permit or re-export certificate as amended in accordance with subparagraph c) above is sent to the country of export or re-export, allowing it to amend its annual report, and to the CITES Secretariat; and RECOMMENDS further that any permit or certificate that indicates the complete names and addresses of the (re-)exporter and importer, in conformity with Annex 1, paragraph d), to the present Resolution, not be accepted for import into a country other than the one for which it was issued, except under the following conditions: a) the actual quantity of specimens exported or re-exported is included in the designated box on the permit or certificate, certified by the stamp or seal and signature of the authority that carried out the inspection at the time of export or re-export; b) the exact quantity referred to under paragraph a) above is imported; c) the number of the bill of lading of the shipment is included on the permit or certificate; d) the bill of lading of the shipment is presented to the Management Authority together with the original of the permit or certificate at the time of import; e) the import takes place within six months after the issue of the export permit or reexport certificate or within 12 months after the issue of a certificate of origin; f) the period of validity of the permit or certificate has not already been extended; 175

179 Chapter 13 Permits and Certificates g) the Management Authority of the importing country includes on the permit or certificate, in the box relating to special conditions, or an equivalent place, the following text, certified by its stamp or seal and signature: "import into [name of country] permitted in accordance with Resolution Conf (Rev. CoP15) (section XI) on [date]"; and h) a copy of the permit or certificate as amended in accordance with paragraph g) above is sent to the country of export or re-export, allowing it to amend its annual report, and to the CITES Secretariat; XII. The use of simplified procedures to issue permits and certificates RECOMMENDS that: a) Parties use simplified procedures to issue permits and certificates to facilitate and expedite trade that will have a negligible impact, or none, on the conservation of the species concerned, e.g.: i) where biological samples of the type and size specified in Annex 4 of the present Resolution, see page Error! Bookmark not defined., are urgently required: A. in the interest of an individual animal; B. in the interest of the conservation of the species concerned or other species listed in the Appendices; C. for judicial or law enforcement purposes; D. for the control of diseases transferable between species listed in the Appendices; or E. for diagnostic or identification purposes; ii) for the issuance of pre-convention certificates in accordance with Article VII, paragraph 2; iii) for the issuance of certificates of captive breeding or artificial propagation in accordance with Article VII, paragraph 5, or for the issuance of export permits or re-export certificates in accordance with Article IV for specimens referred to in Article VII, paragraph 4; and iv) in other cases judged by a Management Authority to merit the use of simplified procedures; 176

180 Chapter 13 Permits and Certificates b) Parties, in order to simplify procedures concerning the issuance of permits and certificates under the circumstances outlined above: i) maintain a register of persons and bodies that may benefit from simplified procedures, as well as the species that they may trade under the simplified procedures; ii) provide to registered persons and bodies partially completed permits and certificates that remain valid for a period of up to six months for export permits, 12 months for import permits or re-export certificates, and three years for pre-convention certificates and certificates of captive breeding or artificial propagation; and iii) authorize the registered persons or bodies to enter specific information on the CITES document when the Management Authority has included in box 5, or an equivalent place, the following: A. a list of the boxes that the registered persons or bodies are authorized to complete for each shipment; if the list includes scientific names, the Management Authority must have included an inventory of approved species on the face of the permit or certificate or in an attached annex; B. any special conditions; and C. a place for the signature, or its electronic equivalent, of the person who completed the document; c) concerning trade in biological samples of the type and size specified in Annex 4 of the present Resolution, where the purpose is among those specified in paragraph a) of this section, permits and certificates be accepted that were validated at the time the documents were granted, rather than at the time a shipment was exported or re-exported provided that the container bears a label, such as a Customs label, that specifies CITES Biological Samples and the CITES document number; and d) when processing applications for the export of biological samples of the type and size and for the use specified in Annex 4 to the present Resolution, Scientific Authorities develop generic non-detriment advice that would cover multiple shipments of such biological samples, taking into account the impacts of the collection of the specimens of species included in Appendix I or II to determine whether the export or import of biological samples would be detrimental to the survival of the species; XIII. Retrospective issue of permits and certificates RECOMMENDS that: a) a Management Authority of an exporting or re-exporting country: i) not issue CITES permits and certificates retrospectively; 177

181 Chapter 13 Permits and Certificates ii) not provide exporters, re-exporters and/or consignees in importing countries with declarations about the legality of exports or re-exports of specimens having left its country without the required CITES documents; and iii) not provide exporters, re-exporters and/or consignees in importing countries with declarations about the legality of permits or certificates which at the time of export, reexport or import did not meet the requirements of the Convention; b) a Management Authority of an importing country, or of a country of transit or transhipment, not accept permits or certificates that were issued retrospectively; c) exceptions from the recommendations under a) and b) above not be made with regard to Appendix-I specimens, and be made with regard to Appendix-II and -III specimens only where the Management Authorities of both the exporting (or re-exporting) and the importing countries are, after a prompt and thorough investigation in both countries and in close consultation with each other, satisfied: i) that the irregularities that have occurred are not attributable to the (re-)exporter or the importer or, in the case of specimens imported or (re-)exported as personal or household effects (for the purposes of the present Resolution this includes live pets travelling with their owner), the Management Authority, in consultation with the relevant enforcement authority, is satisfied that there is evidence that a genuine error has been made, and that there was no attempt to deceive; and ii) that the export (or re-export) and import of the specimens concerned are otherwise in compliance with the Convention and with the relevant legislation of the countries of export (or re-export) and import; d) whenever exceptions are made: i) the permit or certificate clearly indicate that it is issued retrospectively; and ii) the reasons for the relaxation, which should come within the purview of paragraph c) above, are specified in the conditions on the permit or certificate and a copy sent to the Secretariat and also these be listed in the biennial report to the Secretariat; e) in cases where retrospective permits are issued for personal or household effects as referred to in subparagraph c) i) above, Parties make provision for penalties and restrictions on subsequent sales within the following six months to be imposed where appropriate to ensure that the power to grant exemptions from the general prohibition on the issue of retrospective permits is not abused; and f) the above discretion to issue permits and certificates retrospectively not be afforded to benefit repeat offenders; XIV. Acceptance and clearance of documents and security measures 178

182 Chapter 13 Permits and Certificates RECOMMENDS that: a) the Parties refuse to accept permits and certificates if they have been altered (by rubbing out, deleting, scratching out, etc.), modified or crossed out, unless the alteration, modification or crossing-out has been authenticated by the stamp and signature, or its electronic equivalent, of the authority issuing the document; b) whenever irregularities are suspected, Parties exchange issued and/or accepted permits or certificates to verify their authenticity; c) when a security stamp is affixed to a paper permit or certificate, Parties refuse the document if the security stamp is not cancelled by a signature and a stamp or seal; d) Parties refuse to accept any permit or certificate that is invalid, including authentic documents that do not contain all the required information as specified in the present Resolution or that contain information that brings into question the validity of the permit or certificate; e) Parties refuse to accept permits and certificates that do not indicate the scientific name of the species concerned (including subspecies when appropriate), except in the case where: i) the Conference of the Parties has agreed that the use of higher-taxon names is acceptable; ii) the issuing Party can show it is well justified and has communicated the justification to the Secretariat; iii) certain manufactured products contain pre-convention specimens that cannot be identified to the species level; or iv) worked skins or pieces thereof of Tupinambis species that were imported before 1 August 2000 are being re-exported, in which case it is sufficient to use the indication Tupinambis spp.; f) Export permits and re-export certificates be endorsed, with quantity, signature and stamp, by an inspecting official, such as Customs, in the export endorsement block of the document. If the export document has not been endorsed at the time of export, the Management Authority of the importing country should liaise with the exporting country's Management Authority, considering any extenuating circumstances or documents, to determine the acceptability of the document; g) when a Party refuses to accept a permit or certificate, it will keep the original or electronic copy or, if this is not compliant with its national laws, it will cancel the paper document indelibly, preferably by perforation, particularly the security stamp, or register the electronic document as cancelled; 179

183 Chapter 13 Permits and Certificates h) when a Party refuses to accept a permit or certificate issued for export or re-export, it immediately inform the exporting or re-exporting country; i) when a Party is informed that a permit or certificate it has issued for export or reexport has been refused, it take measures to ensure that the specimens in question do not enter into illegal trade; j) Parties ensure that, when the original of a paper permit or certificate is not used by the permittee for the trade authorized, it is returned by the permittee to the issuing Management Authority in order to prevent the illegal use of the document, and in the case of an electronic permit or certificate, notification is sent to the issuing Management Authority and the electronic permit is registered as unused; and k) Parties carefully check the s and telefaxes they receive confirming the validity of permits, in order to ensure that the information that appears on them, including the numbers, corresponds to that in the CITES Directory; RECOMMENDS further that Management Authorities authorize the import of vicuña cloth only if the reverse side of the cloth bears the logotype adopted by the range States of the species, which are signatories to the Convenio para la Conservación y Manejo de la Vicuña, and the selvages the words VICUÑA COUNTRY OF ORIGIN or if it is cloth containing pre-convention wool of vicuña; and URGES the Parties to check with the Secretariat: a) when they have serious doubts about the validity of permits accompanying suspect shipments; and b) before they accept imports of live specimens of Appendix-I species declared as bred in captivity or artificially propagated; and XV. Documents for sample collections covered by ATA carnets RECOMMENDS that: a) for the purpose of the procedure described below, the term sample collection refer to collections of legally acquired dead specimens, parts and derivatives of species included in Appendix II or III and of Appendix-I species bred in captivity or artificially propagated for commercial purposes, which are deemed to be Appendix-II specimens, which are not entitled to be sold or otherwise transferred, and that will cross borders for presentation purposes before returning to the country from which such movement was first authorized; and b) such sample collections be considered as in transit and may be traded under the special provisions stipulated in Article VII, paragraph 1, as explained in Resolution Conf. 9.7 (Rev. CoP15), see page 211, on the following conditions: 180

184 Chapter 13 Permits and Certificates i) sample collections shall be covered by ATA carnets and be accompanied by a standard CITES permit, on which it shall be indicated that the document is a permit or certificate either for export, re-export or 'other', as appropriate, and, in addition, it shall be clearly specified that the document is issued for a sample collection ; ii) it shall be specified in block 5, or an equivalent place, that This document covers a sample collection and is invalid unless accompanied by a valid ATA carnet. The specimen(s) covered by this certificate may not be sold or otherwise transferred whilst outside the territory of the State that `issued this document. The number of the accompanying ATA carnet should be recorded and, if necessary, this may be entered by the Customs or other CITES enforcement official responsible for the endorsement of the CITES document; iii) the name and address (including the country) of the importer and the exporter or reexporter shall be identical, and in block 5, or an equivalent place, the names of the countries to be visited shall be indicated; iv) the date of expiry of such a document shall not be later than that of the ATA carnet accompanying it and the period of validity shall not be more than six months from the date on which it was granted; v) at each border crossing, Parties shall verify the presence of the CITES permit or certificate but allow it to remain with the collection, and ensure that the ATA carnet is properly endorsed with an authorized stamp and signature by a Customs official; and vi) Parties shall check the CITES permit or certificate and sample collection closely at the time of first export or re-export and on its return, to ensure that the collection was not subject to any change; AGREES that: a) such a permit or certificate shall not be transferable and when, during a stay in a State, it is lost, stolen or accidentally destroyed, only the Management Authority that issued it may issue a duplicate or a new document to replace the original. In the case of a duplicate, it will bear the same number, if possible, and the same date of validity as the original document, and contain the statement "This document is a true copy of the original". In the case of a new document, it will state that it replaces the original bearing the number xx; b) if specimens in the collection are stolen, destroyed or lost, the issuing Management Authority of the document shall be immediately informed as well as the Management Authority of the country in which that occurred; and c) the usual CITES procedures for export, re-export and import of sample collections shall be followed by those Parties that do not recognize or allow the use of ATA carnets. 181

185 Chapter 13 Permits and Certificates Invalid, deficient documents and documents containing special requirements Resolution Conf on proof of foreign law recommends that: b) Parties informing the Secretariat of the invalidity, deficiency or special requirements of permits and certificates do so in a signed statement containing the name, address, telephone and fax numbers, and address of the government agency and official responsible for granting the relevant permits and certificates. 182

186 Chapter 13 Permits and Certificates Annex 1 - Information that should be included in CITES permits and certificates a) The full name and the logo of the Convention b) The complete name and address of the Management Authority issuing the permit c) A unique control number d) The complete names and addresses of the exporter and importer e) The scientific name of the species to which the specimens belong (or the subspecies when it is relevant in order to determine in which Appendix the taxon concerned is included) in accordance with the adopted standard nomenclature f) The description of the specimens, in one of the Convention's three working languages, using the nomenclature of specimens distributed by the Secretariat g) The numbers of the marks appearing on the specimens if they are marked or if a Resolution of the Conference of the Parties prescribes marking (specimens from ranches, subject to quotas approved by the Conference of the Parties, originating from operations which breed animals included in Appendix I in captivity for commercial purposes, etc.) or, in the case of marking with microchip transponders, the microchip codes, the name of the transponder manufacturer, and, where possible, the location of the microchip in the specimen h) The Appendix in which the species or subspecies or population is listed. NB: This does not change even if the specimen concerned is deemed to be included in a different Appendix. For example, although specimens of Appendix-I species bred in captivity for commercial purposes are deemed to be specimens of species included in Appendix II, the species remains listed in Appendix I, and this should be specified on the permit or certificate. i) The source of the specimens j) The quantity of specimens and, if appropriate, the unit of measure used k) The date of issue and the date of expiry l) The name of the signatory and his/her handwritten signature for paper permits and certificates or its electronic equivalent for electronic permits and certificates m) The embossed seal or ink stamp of the Management Authority or its electronic equivalent n) A statement that the permit, if it covers live animals, is only valid if the transport conditions comply with the IATA Live Animals Regulations or, if it covers plants, with the IATA Perishable Cargo Regulations o) The registration number of the operation, attributed by the Secretariat, when the permit involves specimens of a species included in Appendix I that originate from an operation practicing breeding in captivity or artificial propagation for commercial purposes (Article VII, paragraph 4), and the name of the operation when it is not the exporter p) The actual quantity of specimens exported, certified by the stamp or seal and signature of the authority that carried out the inspection at the time of the exportation To be included in certificates of origin only q) A statement that the specimens originate in the country that issued the certificate. 183

187 Chapter 13 Permits and Certificates CONVENTION ON IN- TERNATIONAL TRADE IN ENDANGERED SPE- CIES OF WILD FAUNA AND FLORA PERMIT/CERTIFICATE No. EXPORT RE-EXPORT IMPORT OTHER: 2. Valid until Original 3. Importer (name and address) 4. Exporter/re-exporter (name, address and country) 3a. Country of import 5. Special conditions 6. Name, address, national seal/stamp and country of Management Authority Signature of the applicant For live animals, this permit or certificate is only valid if the transport conditions conform to the Guidelines for Transport of Live Animals or, in the case of air transport, to the IATA Live Animals Regulations 5a. Purpose of the transaction (see reverse) 5b. Security stamp no. 7./8. Scientific name (genus and species) and common name of animal or plant 9. Description of specimens, including identifying marks or numbers (age/sex if live) 10. Appendix no. and source (see reverse) 11. Quantity (including unit) 11a. Total exported/quota 7./ a. A 12. Country of origin * Permit no. Date 12a. Country of last re-export Certificate no. Date 12b. No. of the operation ** or date of acquisition *** 7./ a. B 12. Country of origin * Permit no. Date 12a. Country of last re-export Certificate no. Date 12b. No. of the operation ** or date of acquisition *** 7./ a. C 12. Country of origin * Permit no. Date 12a. Country of last re-export Certificate no. Date 12b. No. of the operation ** or date of acquisition *** 7./ a. D 12. Country of origin * Permit no. Date 12a. Country of last re-export Certificate no. Date 12b. No. of the operation ** or date of acquisition *** * Country in which the specimens were taken from the wild, bred in captivity or artificially propagated (only in case of re-export) ** Only for specimens of Appendix-I species bred in captivity or artificially propagated for commercial purposes *** For pre-convention specimens 13. This permit/certificate is issued by: Place Date Security stamp, signature and official seal 14. Export endorsement: 15. Bill of Lading/Air waybill number: Block A B C D Quantity Port of export Date Signature Official stamp and title CITES Permit and Certificate form 184

188 Chapter 13 Permits and Certificates Instructions and explanations (These correspond to block numbers on the form) 1. Tick the square which corresponds to the type of document issued (export permit, re-export certificate, import permit or other). If the box "other" has been ticked, the type of document must be indicated. The original number is a unique number allocated to each document by the Management Authority. 2. For export permits and re-export certificates, the date of expiry of the document may not be more than six months after the date of issuance (one year for import permits). 3. Complete name and address of the importer. 3a. The name of the country must be written in full. 4. Complete name and address of the exporter/re-exporter. The name of the country must be stated. The absence of the signature of the applicant renders the permit or certificate invalid. 5. Special conditions may refer to national legislation or special conditions placed on the shipment by the issuing Management Authority. This block can also be used to justify the omission of certain information. 5a. The following codes should be used: T for commercial, Z for zoo, G for botanical garden, Q for circus or travelling exhibition, S for scientific, H for hunting trophy, P for personal, M for medical, E for education, N for reintroduction or introduction into the wild, B for breeding in captivity or artificial propagation and L for law enforcement / judicial / forensic. 5b. Indicate the number of the security stamp affixed in block The name, address and country of the issuing Management Authority should already be printed on the form Indicate the scientific name (genus and species, where appropriate subspecies) of the animal or plant as it appears in the Convention Appendices or the reference lists approved by the Conference of the Parties, and the common name of the animal or plant as known in the country issuing the permit. 9. Describe, as precisely as possible, the specimens entering trade (live animals, skins, flanks, wallets, shoes, etc.). If a specimen is marked (tags, identifying marks, rings, etc.), whether or not this is required by a Resolution of the Conference of the Parties (specimens originating in a ranching operation, specimens subject to quotas approved by the Conference of the Parties, specimens of Appendix-I species bred in captivity for commercial purposes, etc.), indicate the number and type of mark. The sex and age of the live animals should be recorded, if possible. 10. Enter the number of the Appendix of the Convention (I, II or III) in which the species is listed. Use the following codes to indicate the source: W Specimens taken from the wild R Ranched specimens: specimens of animals reared in a controlled environment, taken as eggs or juveniles from the wild, where they would otherwise have had a very low probability of surviving to adulthood. D Appendix-I animals bred in captivity for commercial purposes in operations included in the Secretariat's Register, in accordance with Resolution Conf (Rev. CoP15), and Appendix-I plants artificially propagated for commercial purposes, as well as parts and derivatives thereof, exported under the provisions of Article VII, paragraph 4, of the Convention A Plants that are artificially propagated in accordance with Resolution Conf (Rev. CoP15), as well as parts and derivatives thereof, exported under the provisions of Article VII, paragraph 5 (specimens of species included in Appendix I that have been propagated artificially for non-commercial purposes and specimens of species included in Appendices II and III) C Animals bred in captivity in accordance with Resolution Conf (Rev.), as well as parts and derivatives thereof, exported under the provisions of Article VII, paragraph 5 F Animals born in captivity (F1 or subsequent generations) that do not fulfil the definition of bred in captivity in Resolution Conf (Rev.), as well as parts and derivatives thereof U Source unknown (must be justified) I Confiscated or seized specimens O Pre-Convention specimens (may be used with other source codes). 11. The quantity and units indicated should conform to the most recent version of the Guidelines for the preparation and submission of CITES annual reports. 11a. Indicate the total number of specimens exported in the current calendar year (1 January to 31 December) (including those covered by the present permit) and the current annual quota for the species concerned (for example 500/1000). This should be done for the national quotas as well as for those determined by the Conference of the Parties. 12. The country of origin is the country in which the specimens were taken from the wild, bred in captivity or artificially propagated, except in the case of plant specimens that cease to qualify for an exemption from the provisions of CITES. In such instances, the country of origin is deemed to be the country in which the specimens ceased to qualify for the exemption. Indicate the number of the permit or certificate of the exporting country and the date of issuance. If all or part of the information is not known, this should be justified in block 5. This block must only be completed in case of re-exports; 12a. The country of last re-export is the country from which the specimens were re-exported before entering the country in which the present document is issued. Enter the number of the re-export certificate of the country of last re-export and its date of issuance. If all or part of the information is not known, this should be justified in block 5. This block must only be completed in case of reexport of specimens previously re-exported. 12b. The No. of the operation is the number of the registered captive-breeding or artificial propagation operation. The date of acquisition is defined in Resolution Conf and is required only for pre-convention specimens. 13. To be completed by the official who issues the permit. The name of the official must be written in full. The security stamp must be affixed in this block and must be cancelled by the signature of the issuing official and a stamp or seal. The seal, signature and security-stamp number should be clearly legible. 14. To be completed by the official who inspects the shipment at the time of export or re-export. Enter the quantities of specimens actually exported or re-exported. Strike out the unused blocks. 15. Enter the number of the bill of lading or air way-bill if the method of transport used requires the use of such a document. The document must be written in one of the three working languages of the Convention (English, Spanish or French) or must include a full translation into one of these three languages. Exported and re-exported specimens should not appear on the same document unless it is clearly indicated which specimens are being exported and which re-exported. AFTER USE THIS DOCUMENT MUST BE RETURNED TO A MANAGEMENT AUTHORITY OF THE IMPORTING COUNTRY. 185

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190 Chapter 13 Permits and Certificates CONVENTION ON IN- TERNATIONAL TRADE IN ENDANGERED SPE- CIES OF WILD FAUNA AND FLORA 3. Owner of specimen(s) (name, permanent address and country of registration) TRAVELLING-EXHIBITION CERTIFICATE Original 1. Certificate no. 2. Valid until 4. Name, address, national seal/stamp and country of issuing Management Authority Signature of owner 5. Special conditions: a) Valid for multiple cross-border movements. Owner to retain original form b) The specimen(s) covered by this certificate may not be sold or otherwise transferred in any State other than the State in which the exhibition is based and registered. This certificate is non-transferable. If the specimen(s) dies, is stolen, destroyed, lost, sold or otherwise transferred, this certificate must be immediately returned by the owner to the issuing Management Authority c) This certificate is not valid unless accompanied by a continuation sheet This certificate is valid only if the transport conditions conform to the Guidelines for Transport of Live Animals or, in the case of air transport, to the IATA Live Animal Regulations 6. Country of import Various 9. Scientific name (genus and species) and common name of species 7. Purpose of the transaction Q 10. Description of specimen/s, including identifying marks or numbers, age, sex 8. Security stamp no. 11. Quantity 12. Appendix no. and source 13. Country of origin 14. Permit no. and date 15. Exhibition registration number 16. Date of acquisition, if pre-convention 17. This certificate is issued by: Place Date Security stamp, signature and official seal 18. Additional conditions 19. Customs endorsement (see Continuation sheet) Travelling Exhibition Certificate 187

191 Chapter 13 Permits and Certificates Instructions and explanations (These correspond to the block numbers on the form) 1. A unique number should be generated by the issuing Management Authority for the certificate. 2. The date of expiry of the document may not be more than three years after the date of issuance. 3. Complete the full name, permanent address and country of the owner of the specimen covered by the certificate. Absence of the signature of the owner renders the certificate invalid. 4. The name, address and country of the issuing Management Authority should already be pre-printed on the form. 5. This block has been pre-printed to indicate the validity of the certificate for multiple cross-border movements of the specimen/s with its/their exhibition for exhibition purposes only and to clarify that the certificate is not to be collected but is to remain with the specimen/owner. This block also can be used to justify the omission of certain information. 6. This block has been pre-printed to indicate that cross-border movement is permitted to any country accepting this certificate as a matter of national law. 7. This block has been pre-printed with the code Q for circuses and travelling exhibitions. 8. Indicate the number of the security stamp affixed in block Indicate the scientific name (genus and species, where appropriate subspecies) of the species as it appears in the Convention Appendices or the reference lists approved by the Conference of the Parties, and the common name as known in the country issuing the certificate. 10. Describe, as precisely as possible, the specimen/s covered by the certificate, including identifying marks (tags, rings, unique markings, etc.) sufficient to permit the authorities of the Party into which the exhibition enters to verify that the certificate corresponds to the specimen/s covered. The sex and age, at the time of the issuance of the certificate, should be recorded, where possible. 11. Indicate the total number of specimens. In the case of live animals it should normally be one. If more than one specimen, state see attached inventory. 12. Enter the number of the Appendix of the Convention (I, II, or III) in which the species is listed. Use the codes below to indicate the source. This certificate may not be used for specimens with source code W, R, F or U unless they are pre-convention specimens and the code O is also used. W Specimens taken from the wild R Ranched specimens: specimens of animals reared in a controlled environment, taken as eggs or juveniles from the wild, where they would otherwise have had a very low probability of surviving to adulthood. A Plants that are artificially propagated in accordance with Resolution Conf (Rev. CoP15), as well as parts and derivatives thereof, exported under the provisions of Article VII, paragraph 5, of the Convention (specimens of species included in Appendix I that have been propagated artificially for non-commercial purposes and specimens of species included in Appendices II and III) C Animals bred in captivity in accordance with Resolution Conf (Rev.) and exported under the provisions of Article VII, paragraph 5 F Animals born in captivity (F1 or subsequent generations) that do not fulfil the definition of bred in captivity in Resolution Conf (Rev.) U Source unknown (must be justified) O Pre-Convention specimens (may be used in conjunction with any other code). 13. The country of origin is the country in which the specimens were taken from the wild or bred in captivity. 14. Indicate the number of the export permit of the country of origin and the date of issuance. If all or part of that information is not known, this should be justified in block This block must contain the exhibition registration number. 16. Enter the date of acquisition only for pre-convention specimens. 17. To be completed by the official who issues the certificate. A certificate may only be issued by the Management Authority of the country where an exhibition is based and only when the owner of the exhibition has registered full details of the specimen with that Management Authority. The name of the issuing official must be written in full. The security stamp must be affixed in this block and must be cancelled by the signature of the issuing official and a stamp or seal. The seal, signature and security stamp number should be clearly legible. 18. This block may be used to refer to national legislation or additional special conditions placed on the cross-border movement by the issuing Management Authority. 19. This block has been pre-printed to refer to the attached Continuation Sheet, which should indicate all cross-border movements. SUBJECT TO 5 ABOVE, UPON EXPIRATION, THIS DOCUMENT MUST BE RETURNED TO THE ISSUING MANAGEMENT AUTHORITY. 188

194 Chapter 13 Permits and Certificates Annex 4 Types of biological samples and their use Type of sample Typical size of sample Use of sample blood, liquid blood, dry (smear) blood, clotted (serum) drops or 5 ml of whole blood in a tube with anticoagulant; may deteriorate in 36 hours a drop of blood spread on a microscope slide, usually fixed with chemical fixative 5 ml of blood in tube with or without a blood clot haematology and standard biochemical tests to diagnose disease; taxonomic research; biomedical research blood counts and screening for disease parasites serology and detection of antibodies for evidence of disease; biomedical research tissues, fixed 5 mm 3 pieces of tissues in a fixative histology and electron microscopy to detect signs of disease; taxonomic research; biomedical research tissues, fresh (excluding ova, sperm and embryos) swabs hair, skin, feathers, scales cell lines and tissue cultures 5 mm 3 pieces of tissues, sometimes frozen tiny pieces of tissue in a tube on a swab small, sometimes tiny pieces of skin surface in a tube (up to 10 ml in volume) with or without fixative no limitation of sample size microbiology and toxicology to detect organisms and poisons; taxonomic research; biomedical research growing bacteria, fungi, etc. to diagnose disease genetic and forensic tests and detection of parasites and pathogens and other tests cell lines are artificial products cultured either as primary or continuous cell lines that are used extensively in testing the production of vaccines or other medical products and taxonomic research (e.g. chromosome studies and extraction of DNA) 191

195 Chapter 13 Permits and Certificates Type of sample Typical size of sample Use of sample DNA small amounts of blood (up to 5 ml), hair, feather follicle, muscle and organ tissue (e.g. liver, heart, etc.), purified DNA, etc. secretions, (saliva, venom, milk) sex determination; identification; forensic investigations; taxonomic research; biomedical research 1-5 ml in vials phylogenetic research, production of anti-venom, biomedical research Electronic permitting Decision14.55 instructed the Standing Committee to extend the mandate of the Working Group on Information Technologies and Electronic Systems in order for it to perform the following tasks: a) analyze the information collected with the questionnaires in order to define the commonalities among Parties and the extent to which these systems are interoperable; b) evaluate and analyze the information provided by the Secretariat on the experience of other bodies and conventions or agreements [UNEP World Conservation Monitoring Centre (UNEP-WCMC), Convention on the Conservation of Antarctic Marine Living Resources, World Customs Organization] on the use of electronic systems and permits; c) collaborate with the Secretariat in drafting guidelines on the use of common information exchange formats, protocols and standards and electronic signatures; d) promote the development and use of electronic permitting systems among Parties; e) further explore the availability of a few Parties to participate in case studies; and f) report to the Standing Committee at its 58th meeting on the results of its work. Decision provided that, subject to the availability of financial and human resources, the Secretariat, in cooperation with the Working Group on the Use of Information Technologies and Electronic Systems, shall prepare a CD-ROM and Web-based toolkit on electronic permitting systems for consideration at the 57th meeting of the Standing Committee to assist Parties with the implementation of electronic permitting systems. The toolkit shall include: a) advice on the use of common information exchange formats, protocols and standards for use with electronic permitting systems; b) advice on the use of electronic signatures and other electronic security measures; 192

196 Chapter 13 Permits and Certificates c) advice on the development and implementation of interoperable information exchange pilot projects on electronic permitting systems; d) a list of Parties willing to assist less developed countries in developing electronic permitting systems; e) a list of Parties currently using electronic permitting systems; and f) information on new developments in the use of electronic documents by relevant organizations. Decision14.57 instructed the Secretariat to collaborate with UNEP-WCMC in the further development and dissemination of Internet-based software tools. This process led to the CITES electronic permitting toolkit referred to in Resolution Conf (Rev. CoP15) and which can be found on the CITES website: Decision encourages Parties to use the CITES Electronic Permitting Toolkit found on the CITES website to develop or update national electronic permitting systems. Decision instructs the Standing Committee to extend the mandate of its Working Group on Information Technologies and Electronic Systems in order for it to perform the following tasks: a) gather information from Parties and relevant organizations and initiatives on new developments related to electronic permitting systems, and submit such information to the Secretariat for possible inclusion in the toolkit; b) collaborate with the Secretariat in updating the toolkit with new information related to the use of common information exchange formats, protocols and standards and electronic signatures; c) promote the development and use of electronic permitting systems among Parties; d) examine how electronic permitting can contribute to ensuring legal electronic commerce in specimens of CITES-listed species; e) invite relevant organizations with knowledge about electronic permitting systems to join the Working Group; and f) report to the Standing Committee at its regular meetings on the results of its work. Decision directs the Secretariat to, in collaboration with the Working Group on Information Technologies and Electronic Systems, to, subject to external funding: 193

197 Chapter 13 Permits and Certificates a) update the CITES electronic toolkit according to new electronic permitting standards and norms; b) work with relevant international organizations and initiatives related to electronic permitting systems to raise awareness of CITES business procedures and permitting requirements; and c) organize capacity-building workshops to assist Parties in using the CITES electronic permitting toolkit to develop, implement or update electronic permitting systems. 194

198 Chapter 14 - The Marking of Specimens Article VI, paragraph 7 Where appropriate and feasible a Management Authority may affix a mark upon any specimen to assist in identifying the specimen. For these purposes mark means any indelible imprint, lead seal or other suitable means of identifying a specimen, designed in such a way as to render its imitation by unauthorized persons as difficult as possible. More and more species - and even specimens - are becoming subject to different rules. This makes the marking of specimens an increasingly necessary identification and enforcement tool and there is of course also the more general problem of how to ensure that specimens entering international trade are indeed the same as those for which permits and certificates are issued. Recommendations for the identification of specimens of a number of species and on certain techniques have been made over the years. Apart from a number of general recommendations, they mainly concern specimens originating from captive breeding and ranching operations and of quota species. Specific recommendations also exist for the marking of ivory, leopard skins, crocodile skins, and caviar and of specimens in travelling exhibitions. General recommendations for marking Resolution Conf (Rev. CoP15) lays down marking requirements for trade in specimens of taxa with populations in both Appendix I and Appendix II. It recognizes that Article VII, paragraph 4, of the Convention specifically provides for regulated international trade in specimens of species included in Appendix I that have been bred in captivity for commercial purposes.

199 Chapter 15 The Marking of Specimens It further recognizes that the Conference of the Parties has established the right of a Party to permit commercial trade in specimens derived from an approved ranching operation (Resolution Conf (Rev. CoP15)). It states that, in order to facilitate the application of differential regulatory controls, any system of marking specimens derived from ranching or captive breeding must be practical and readily implementable by all Parties. The Conference of the Parties notes that, at previous meetings, the Conference of the Parties has addressed separately the issues of regulating trade derived from ranching and captive breeding operations. For the identification of live specimens it recommends that: a) any marking system that requires the attachment of a tag, band or other uniquely marked label, or the marking of a part of the animal s anatomy be undertaken only with due regard for the humane care, well-being and natural behaviour of the specimen concerned. For the identification of parts and derivatives of ranched or captive-bred animals it recommends that: b) where requested by individual Parties, the Secretariat purchase and disseminate appropriately coded tags or stamps and that the costs be recovered from participating Parties. At CoP 12, the Animals Committee was requested to address further the issue of marking requirements for the identification of specimens of look-like species for the purpose of developing practical marking strategies and systems, and report progress to the next meeting of the Conference of the Parties. The result was paragraph f) of Resolution Conf (Rev. CoP13), which merely resolves that registered captive breeding operations shall ensure that an appropriate and secure marking system is used to clearly identify all breeding stock and specimens in trade and shall undertake to adopt superior marking and identification methods as they become available. 196

200 The use of microchips Chapter 15 The Marking of Specimens Microchip and reader Resolution Conf (Rev.) recommended: b) that the use of coded microchip implants be adopted on a trial basis on a sample range of high value captive-bred Appendix I taxa which are subject to international trade, to be determined by the Animals Committee and Parties involved; and c) that the overall effectiveness and efficiency of identifying animals and regulating trade in such specimens by the use of microchip technology be reviewed by the Conference of the Parties. The use of coded-microchip implants for marking live animals in trade is currently dealt with in Resolution Conf (Rev.), which recognizes the increasingly wide use of coded-microchip implants for the individual identification of animals and the potential of this method of marking for the regulation of trade in live animals of species included in the Appendices to the Convention. The Conference of the Parties believes that any such method employed to identify live animals should be standardized in its application and that there is no reason to limit the use of coded-microchip implants to only live animals of species included in Appendix I or high-value species. It notes that Management Authorities may permit the movement of travelling exhibitions or circuses without permits or certificates pursuant to Article VII, paragraph 7, of the Convention. It considers that the International Organization for Standardization (ISO) has adopted the standards ISO and ISO and that the IUCN/SSC Conservation Breeding Specialist Group has already undertaken an extensive review of the application of coded-microchip implants, and that effective implementation of Article VI, paragraph 7, will result in increasingly wider use of coded-microchip implants for the identification of animals. It recommends that: a) Parties, where possible and appropriate, without excluding the use of other methods, adopt the use of implantable transponders bearing permanent, non-programmable, unalterable and permanently unique codes for the identification of live animals; 197

201 Chapter 15 The Marking of Specimens b) Parties take into account the findings of the IUCN/SSC Conservation Breeding Specialist Group regarding frequency, size and sterility of transponders; c) microchip transponders be implanted where consistent with the well-being of the specimens concerned; and d) the location of implanted transponders in each animal be standardized according to the advice from the IUCN/SSC Conservation Breeding Specialist Group; and It directs: a) the Secretariat to consult regularly with the ISO Central Secretariat on this subject, and to urge it to resolve current problems with standards ISO and ISO 11785; b) the Management Authority of each Party to inform all known manufacturers of microchip-implants and associated equipment on its territory about the present Resolution, urge them to strive towards the production of compatible equipment that can be applied universally and ask them for information about their products compatible with CITES needs; and to advise the Secretariat about the results, for the information of the Parties; and c) the Animals Committee to monitor developments in microchip-implant technology and application techniques and to advise the Secretariat about such developments, for the information of the Parties. Paragraph g) of Annex 1 to Resolution Conf (Rev. CoP13) provides that permits and certificates shall, when specimens are marked with microchip transponders, contain the microchip codes, the name of the transponder manufacturer, and, where possible, the location of the microchip in the specimen. Captive-bred Appendix-I specimens Resolution Conf (Rev.) recommends that the trade in a captive bred specimen be permitted only if it is marked in accordance with the provisions on marking in the Resolutions adopted by the Conference of the Parties and if the type and number of the mark are indicated on the document authorizing the trade. Resolution Conf (Rev. CoP15), in paragraph f), merely resolves, however, that registered captive-breeding operations shall ensure that an appropriate and secure marking system is used to clearly identify all breeding stock and specimens in trade, and shall undertake to adopt superior marking and identification methods as these become available. Resolution Conf. 6.21, paragraph d), recommended that for live birds of Appendix-I species, the marking system to be adopted be that of the individually marked closed ring of an appropriate size which cannot be removed from the bird s leg after having been applied in the first days of the bird s life, but that where the physical or behavioral proper- 198

202 Chapter 15 The Marking of Specimens ties of a species do not allow the use of such rings a suitable other marking method as approved by the Animals Committee be applied. Resolution Conf was repealed, however, with the adoption of Resolution Conf. 8.15, the subject of which has meanwhile become that of Resolution Conf (Rev. CoP15). Ranched specimens Resolution Conf (Rev. CoP15) on ranching, recommends in paragraph c) that any Party submitting a ranching proposal for a population of a species, whether or not a ranching proposal has been approved for the species previously, include in the proposal the following, in addition to the usual biological data requested for proposals to amend the Appendices: i) details of its marking system that should meet the minimum requirements of the uniform marking system defined in this Resolution; ii) a list specifying the types of products produced by the operation; iii) a description of the methods that will be used to mark all products and containers entered into trade; and iv) an inventory of current stocks of specimens of the species concerned, whether or not they are from the ranching operation. In its paragraph b), under Decides, it defines the term uniform marking system as a system of marking each product approved by the Conference of the Parties for a species, which, as a minimum, includes the International Organization for Standardization twoletter code for the country of origin, a unique identification number and the year of production or, for products in stock or manufactured from products of the operation in stock at the time of the proposal, the year of approval of the proposal. Quota species Resolution Conf established special criteria for the transfer of taxa from Appendix I to Appendix II if the countries of origin agreed to introduce a quota system. The Resolution directed the Technical Committee to develop recommendations, prior to the sixth meeting of the Conference of the Parties for marking and other suitable methods of controlling trade in specimens of species subject to quotas, so as to ensure that such trade is effectively regulated. The recommendations of the Technical Committee resulted in Resolution Conf

203 Chapter 15 The Marking of Specimens A universal tagging system for crocodilian skins was first adopted with Resolution Conf The above Resolutions have been replaced with Resolution Conf (Rev. CoP15). Universal tagging system for the identification of crocodilian skins Resolution Conf (Rev. CoP15) reads as follows: THE CONFERENCE OF THE PARTIES AWARE that all living crocodilian species are listed in Appendix I or II, but CONCERNED that several crocodilian species may be subject to some levels of illegal trade; RECOGNIZING that certain populations of crocodilians may be transferred from Appendix I to Appendix II subject to specified annual export quotas and that these export quotas are to ensure that the annual take from these populations is not detrimental to their survival; RECOGNIZING that illegal trade threatens the survival of certain populations of crocodilians and has undermined the efforts of producer countries to manage their crocodilian resources on a sustainable basis; RECALLING that Article VI, paragraph 7, of the Convention provides that specimens of species listed in the Appendices may be marked to assist in identifying them; CONSIDERING that the tagging of all crocodilian skins in international trade has been and still is a fundamental step towards the effective regulation of international trade in crocodilians and that Resolutions Conf and Conf to this effect were adopted by the Conference of the Parties at its sixth and ninth meetings (Ottawa, 1987; Fort Lauderdale, 1994); NOTING the existence of a register of manufacturers able to produce tags for the marking of crocodilian skins, established and maintained by the Secretariat; RECOMMENDS: a) the maintenance of a universal tagging system for the identification of raw, tanned, and/or finished crocodilian skins by the general application of non-reusable tags to all crocodilian skins entering international trade from the countries of origin; b) that crocodilian skins, flanks and chalecos be individually tagged before export; c) that the non-reusable tags include, as a minimum: the ISO two-letter code for the country of origin; a unique serial identification number; a standard species code (as provided in Annex 1, see page 202); and, where appropriate, the year of skin production or harvest, in accordance with the provisions of Resolution Conf (Rev. CoP15), adopted by the Conference of the Parties at its 11th meeting (Gigiri, 2000) and amended at its 14th and 15th meetings (The Hague, 2007; Doha 2010), see page 536; and further, that such tags have as a minimum the following characteristics: a tamper-resistant, selflocking mechanism, heat resistance, inertia to chemical and mechanical processing, and 200

204 Chapter 15 The Marking of Specimens alphanumeric information, which may include bar-coding, applied by permanent stamping; d) that the year of skin production or harvest and serial number be separated with a hyphen (-) where the information on tags appears in the sequence: country of origin, year of skin production or harvest, serial number, species code; e) that, for the labelling of skins derived from crocodilian hybrids, the designation HYB or, where the parentage is known, the two three-letter codes for the parents, separated by the character x (e.g. PORxSIA where the hybrid is a cross between Crocodylus porosus and Crocodylus siamensis), be used instead of the standard species codes in Annex 1 of this Resolution; f) that tails, throats, feet, backstrips, and other parts be exported in transparent, sealed containers clearly marked with a non-reusable tag or label together with a description of the content and total weight, and all the information required for tags for individual skins, flanks and chalecos, as outlined in paragraphs c), d) and e); g) that Parties establish, where legally possible, a system of registration or licensing, or both, for producers, tanners, importers and exporters of crocodilian skins; h) that all countries permitting re-export of raw, tanned, and/or finished crocodilian skins implement an administrative system for the effective matching of imports and reexports and, further, ensure that skins and flanks are re-exported with the original tags intact unless the pieces originally imported have been further processed and cut into smaller pieces; i) that, where the original tags have been lost, damaged, or removed from raw, tanned, and/or finished skins, flanks and chalecos, the country of re-export should tag such skins, flanks or chalecos prior to re-export, with a 're-export tag' meeting all the requirements of paragraph c) above except that the country of origin and standard species codes and years of skin production and/or harvest will not be required; and further, that the same information as is on these tags should be given on the re-export certificate together with details of the original permit under which the skins, flanks and chalecos were imported; j) that Parties accept export permits, re-export certificates or other Convention documents for trade in crocodilian skins and parts thereof only if they contain the information referred to in paragraph c), f), i) or j), as appropriate, and if the related skins and parts thereof are tagged in accordance with the provisions of this Resolution; k) that Parties, with the advice of the Secretariat if appropriate, implement a management and tracking system for tags used in trade as outlined in Annex 2 to this Resolution, see page 203,; and l) that Management Authorities ensure that tags not affixed to skins, flanks and chalecos in the year specified on the tag are destroyed; DIRECTS the Secretariat to report deficiencies of the system or specific instances of concern to the Animals Committee and the relevant Parties, as appropriate. 201

206 Chapter 15 The Marking of Specimens Annex 2 Management and tracking system for tags used in the crocodilian skin trade 1. The CITES Secretariat should establish, maintain, and amend periodically thereafter, a list of approved sources capable of manufacturing tags that meet the minimum requirements as laid down in paragraph c) of this Resolution; and further, the Secretariat should regularly give notice to the Parties of such sources and each Management Authority should obtain tags to mark crocodilian skins, flanks and chalecos only from these approved sources. 2. Any approved tag manufacturer registered by the Secretariat should first agree, in writing, that it will: a) not duplicate any series of tags produced in accordance with this Resolution; and b) sell such tags only to Management Authorities or, in non-party States, to designated government agencies recognized by the Secretariat in accordance with Resolution Conf. 9.5 (Rev. CoP15), see page 340, or to bodies approved by these agencies. 3. Upon request by a Management Authority, the Secretariat should purchase and distribute tags for crocodilian skins, and should require advance payment, except if external funding becomes available for Parties requiring assistance. 4. When issuing export permits or re-export certificates for crocodilian skins, or other specimens referred to in this Resolution, Parties should record the numbers of the tags associated with each document and make this information available to the Secretariat on request. 5. The Management Authorities of the exporting, re-exporting and importing Parties should provide to the Secretariat, when directed by the Standing Committee or agreed to between the range State and the CITES Secretariat, a copy of each export permit, reexport certificate, or other Convention document for crocodilian skins, flanks or chalecos immediately after issuance or receipt as appropriate. 6. Parties that require or intend to require the use of tags or labels for containers should send to the Secretariat at least one sample tag or label for reference. The marking of ivory Resolution Conf consolidated all earlier Resolutions on trade in African elephant ivory. It was replaced and extended with what currently is: Resolution Conf (Rev. CoP14). With regard to the marking of ivory, it recommends (from Resolutions Conf. 3.12, Conf and Conf. 6.15) that: 203

207 Chapter 15 The Marking of Specimens whole tusks of any size, and cut pieces of ivory that are both 20 cm or more in length and one kilogram or more in weight, be marked by means of punch-dies, or, where this is not practicable, with indelible ink using the following formula: country-of-origin twoletter ISO code, the last two digits of the year / the serial number for the year in question / and the weight in kilograms (e.g. KE 00/127/14). This number is to be placed at the lip mark, in the case of whole tusks, and highlighted with a flash of color. In relation to ivory quotas, Resolution Conf (Rev. CoP15) recommends (from Resolution Conf. 5.12) that: g) no export, re-export or import of raw ivory be authorized unless it is marked in accordance with this Resolution or in accordance with the Secretariat s Manual. The manual referred to is the Ivory Trade Control Procedures Manual that was circulated by the Secretariat in November With regard to marking it is weaker and even contradicts Resolution Conf (Rev. CoP14) and its predecessors! Paragraph 4.2 of the manual stipulates that each tusk that is large enough should be marked in accordance with Resolution Conf. 3.12, using punch-dies if possible. If the use of punch-dies is impractical, indelible ink (e.g. felt tip pen) is an acceptable alternative. The tusk number should include, as a minimum, the two-letter ISO code for the exporting country, a unique serial number, the year and the weight of the tusk in kilograms. Paragraph 4.3 provides that if very small whole tusks (of less than 1 kg each) are involved, they should still be individually marked. However, for practical reasons, such tusks should be marked using indelible ink (e.g. filt-tip pen) rather than punch dies. The manual does not deal with the marking of pieces of raw ivory, which is, however, recommended in Resolution Conf (Rev. CoP15) (from Resolution Conf. 3.12). It merely states, in its paragraph 3.1, that trade control procedures for cut pieces of raw ivory should be a matter for the discretion of each country and urges Parties that this should not become a loophole for evasion of the export quota system. Paragraph 6.6 of the manual concerns the marking of previously unmarked tusks prior to re-export: The two-letter ISO code of the re-exporting country should be used together with a unique serial number, the year of marking and the weight in kilograms. The accompanying certificate should specify that the tusks have been marked by the re-exporting country. Leopard skins 204 The leopard, Panthera pardus, is listed in Appendix I. For the first time with Resolution Conf a quota system for the export of skins was established and a marking system recommended. The wording of the recommendation concerned, most recently repeated in Resolution Conf (Rev. CoP14), is as follows:

208 Chapter 15 The Marking of Specimens c) the Management Authority of the State of import permit the import of leopard skins in accordance with this Resolution only if each skin has a self-locking tag attached which indicates the State of export, the number of the specimen in relation to the annual quota and the calendar year in which the animal was taken in the wild for example ZW 6/ indicating that Zimbabwe is the State of export and that the specimen is the sixth specimen taken in the wild in Zimbabwe out of its quota of 500 for 1997 and if the same information as is on the tag is given on the export document. Specimens in travelling live animal exhibitions Section VI of Resolution Conf (Rev. CoP15) recommends in paragraph j) that Parties require that specimens be marked or identified in such a way that the authorities of each State into which an exhibition enters can verify that the travelling-exhibition certificates correspond to the specimens being imported. Resolution Conf recommends in paragraph j) that Parties require that any live animal that is a personal or household effect be securely marked or otherwise appropriately identified and that this mark be included on the certificate of ownership so that the authorities of the State into which the live animal enters can verify that the certificate corresponds to the live animal in question. Personally owned live animals The control of movements of personally owned live animals is dealt with on page 226. CITES guidelines for a universal labelling system for the trade in and identification of caviar Resolution Conf established this system. It was replaced by Resolution Conf as a result of Decision , which instructed the Secretariat to: a) explore, in collaboration with the Animals Committee and relevant Parties, mechanisms for the effective and secure labeling of caviar that is subject to repackaging and re-export, together with appropriate administrative control procedures, and report its findings and recommendations at the 12th meeting of the Conference of the Parties; and 205

209 Chapter 15 The Marking of Specimens b) monitor, in collaboration with the Animals Committee, implementation of the universal labeling system for caviar, and report deficiencies in the system at the 12th meeting of the Conference of the Parties. Decision provided that from 1 January 2004, importing countries should not accept shipments of caviar unless they were marked in accordance with the universal labeling system outlined in Annexes 1 and 2 of Resolution Conf on conservation of and trade in sturgeons and paddlefish. Resolution Conf (Rev. CoP14) recalls that Article VI, paragraph 7, of the Convention provides that specimens of species listed in the Appendices may be marked to assist in identifying them and considers that the labelling of all caviar in trade would be a fundamental step towards the effective regulation of trade in specimens of sturgeons and paddlefish. It notes that, in order to assist the Parties in identifying legal caviar in trade, marking should be standardized and that particular specifications for the design of labels are fundamental, should be generally applied and should also take into account marking systems currently in place and anticipated technological advances in marking systems. It recommends: m) Parties implement the universal labelling system for caviar outlined in Annexes 1 and 2 and importing Parties not accept shipments of caviar unless they comply with these provisions. Annex 1 - CITES guidelines for a universal labelling system for the trade in and identification of caviar a) The uniform labelling system applies to all caviar, from wild and aquaculture origin produced for commercial and non-commercial purposes, for either domestic or international trade, and is based on the application of a non-reusable label on each primary container. b) The following definitions apply in relation to trade in caviar: Caviar: processed unfertilized eggs (roe) of Acipenseriformes species. Lot identification number: a number that corresponds to information related to the caviar tracking system used by the processing or repackaging plant. Non-reusable label: any label or mark that cannot be removed undamaged or transferred to another container, which may seal the container. If the non-reusable label does not seal the primary container, caviar should be packaged in a manner that permits visual evidence of any opening of the container. 206

210 Chapter 15 The Marking of Specimens Pressed caviar: caviar composed of unfertilized eggs (roe) of one or more sturgeon or paddlefish species, remaining after the processing and preparation of higher quality caviar. Primary container: tin, jar or other receptacle that is in direct contact with the caviar. Processing plant: facility in the country of origin responsible for the first packaging of caviar into a primary container. Repackaging plant: facility responsible for receiving and repackaging caviar into new primary containers. Secondary container: receptacle into which primary containers are placed. Source code: letter corresponding to the source of the caviar (e.g. W, C, F), as defined in the relevant CITES Resolutions. Note that, among other situations, for caviar produced from a female born in captivity and where at least one parent originated in the wild, the F code should be used. c) In the country of origin, the non-reusable label should be affixed by the processing plant to any primary container. This label must include, as a minimum: a standard species code as provided in Annex 2; the source code of the caviar; the ISO two-letter code for the country of origin; the year of harvest; the official registration code of the processing plant (e.g. xxxx); and the lot identification number for the caviar (e.g. yyyy), for instance: HUS/W/RU/2000/xxxx/yyyy d) When no repackaging takes place, the non-reusable label referred to in paragraph c) above should be maintained on the primary container and be considered sufficient, including for re-export. e) A non-reusable label should be affixed by the repackaging plant to any primary container in which caviar is repackaged. This label must include, as a minimum: a standard species code as provided in Annex 2; the source code of the specimen; the ISO twoletter code of the country of origin; the year of repackaging; the official registration code of the repackaging plant, which incorporates the ISO two-letter code of the country of repackaging if different from the country of origin (e.g. IT-wwww); and the lot identification number, or CITES export permit or re-export certificate number (e.g. zzzz), for instance: PER/W/IR/2001/IT-wwww/zzzz f) When caviar is exported or re-exported, the exact quantity of caviar must be indicated on any secondary container in addition to the description of the content in accordance with international Customs regulations. g) The same information that is on the label affixed to the container must be given on the export permit or re-export certificate, or in an Annex attached to the CITES permit or certificate. 207

211 Chapter 15 The Marking of Specimens h) In the event of inconsistencies between information on a label and a permit or certificate, the Management Authority of the importing Party should contact its counterpart in the exporting or re-exporting Party as soon as possible to establish whether this was a genuine error arising from the complexity of information required by these guidelines. If this is the case, every effort should be made to avoid penalizing those involved in such transactions. i) Parties should accept shipments of caviar only if they are accompanied by appropriate documents containing the information referred to in paragraph c), d) or e). Annex 2 Codes for identification of Acipenseriformes species, hybrids and mixed species Species Acipenser baerii Acipenser baerii baicalensis Acipenser brevirostrum Acipenser dabryanus Acipenser fulvescens Acipenser gueldenstaedtii Acipenser medirostris Acipenser mikadoi Acipenser naccarii Acipenser nudiventris Acipenser oxyrhynchus Acipenser oxyrhynchus desotoi Acipenser persicus Acipenser ruthenus Acipenser schrencki Acipenser sinensis Acipenser stellatus Acipenser sturio Acipenser transmontanus Huso dauricus Huso huso Polyodon spathula Psephurus gladius Code BAE BAI BVI DAB FUL GUE MED MIK NAC NUD OXY DES PER RUT SCH SIN STE STU TRA DAU HUS SPA GLA 208

214 Chapter 15 - Exemptions and Other Special Trade Provisions Article VII provides for exemptions from Articles III, IV and V of the Convention. Resolution Conf (Rev.) recommends that Parties experiencing significant problems in administering or enforcing the exemptions contained in Article VII take stricter national measures where appropriate to eliminate those problems. Transit and transshipment Article VII, paragraph 1 The provisions of Articles III, IV and V shall not apply to the transit or transshipment of specimens through or in the territory of a Party while the specimens remain in customs control. In 1983, the Conference of the Parties recognized the potential for abuse of this provision by the keeping of specimens in the territory of a Party while seeking a buyer in another country. In 1989, it noted that the control of transit shipments for valid export documentation was an important way to discover illegal trade in CITES specimens and recognized the need for Parties to take measures to fight illegal trade. In 1992, the inspection of transit shipments from and/or to non-party States was recommended. With Resolution Conf. 9.7 (rev. CoP15), the Conference of the Parties combines and adds to the recommendations of these earlier Resolutions. It recognizes that there is potential for the abuse of the transit provision by the keeping of specimens in the territory of a Party while seeking a buyer in another country. It notes that the verification of the existence of valid export permits or re-export certificates for control of specimens in transit or being transshipped is an important way to discover illegal trade in specimens of species included in the CITES Appendices.

215 Chapter 15 Exemptions and Other Special Trade Provisions It states that shipments not covered by the exemptions specified in Article VII of the Convention and travelling on an ATA carnet still require appropriate CITES documentation. The Conference of the Parties recommends that: a) for the purpose of Article VII, paragraph 1, of the Convention, the phrase transit or transshipment of specimens be interpreted to refer only to: i) specimens that remain in Customs control and are in the process of shipment to a named consignee when any interruption in the movement arises only from the arrangements necessitated by this form of traffic; and ii) cross-border movements of sample collections of specimens that comply with the provisions of section XV of Resolution Conf (Rev. CoP15), and are accompanied by an ATA carnet; b) Parties inspect, to the extent possible under their national legislation, specimens in transit or being transhipped, to verify the presence of a valid CITES permit or certificate as required under the Convention or to obtain satisfactory proof of its existence; c) to be considered as valid, any such permit or certificate must clearly show the ultimate destination of the shipment, which, in the case of a sample collection, must be the country of issuance; d) any change of ultimate destination be investigated by the country of transit or transhipment to verify that the transaction complies with the purposes of the Convention; e) Parties adopt legislation allowing them to seize and confiscate specimens in transit or being transhipped without a valid permit or certificate or proof of the existence thereof; f) when an illegal shipment in transit or being transhipped is discovered by a Party that cannot seize it, the Party provide to the country of final destination and to the Secretariat all relevant information on the shipment as soon as possible and, if applicable, to other countries through which the shipment will pass in transit; and g) the above recommendations be applied also to specimens in transit or being transhipped that are destined for or coming from States not party to the Convention, including specimens in transit between such States. The Conference of the Parties confirms that each Party must apply the Convention over the whole of its territory, as the Convention does not make any provision for the exclusion of areas or zones under special regimes, such as duty free shops, free ports or non- Customs zones. 212

216 Chapter 15 Exemptions and Other Special Trade Provisions It urges all Management Authorities to communicate with the Customs and other competent CITES enforcement officials to ensure that all CITES shipments travelling on ATA or TIR carnets comply with the applicable provisions of CITES. Pre-Convention specimens Article VII, paragraph 2 Where a Management Authority of the State of export or re-export is satisfied that a specimen was acquired before the provisions of the present Convention applied to that specimen, the provisions of Articles III, IV and V shall not apply to that specimen where the Management Authority issues a certificate to that effect. The reason for the inclusion of this exemption in the Convention was to avoid problems related to retroactive legislation, e.g.: 1) CITES enters into force in country A in July A specimen of an Appendix-I species was legally acquired in Country A cannot be expected to prohibit the owner to export the specimen concerned because he could not have been aware of CITES at the time of acquisition. 2) An importer in country B legally imports an Appendix-I specimen. Country B is not a Party to CITES. He wants to re-export the specimen but meanwhile CITES entered into force in country B. Again, country B cannot be expected to prohibit that re-exportation. Many Parties, however, took stricter national measures to avoid the consequences of the pre-convention exemption for importing countries. They would have to accept imports of pre-convention stocks from other countries without the conditions of Article III to V being met. Some Parties only recognize pre-convention certificates where the date of acquisition is prior to the entry into force of the Convention as such, or when the species was listed. Other Parties apply the date of entry into force of CITES in their own country. As a result it is difficult to establish which Parties apply which criteria and dates, and holding an Article VII(2) certificate is by no means a guarantee for the possibility to export or re-export specimens to another Party. In 1983, the Conference of the Parties adopted Resolution Conf in an attempt to define the term pre-convention specimen. It, however, only addressed part of the difficulties of the issue and created new problems. With Resolution Conf. 5.11, the Conference of the Parties partly repaired this and recognized the crucial role of importing Parties in implementing Article VII.2 and the possibility for importing Parties to apply stricter domestic measures under Article XIV.1 to specimens covered by pre-convention certificates. 213

217 Chapter 15 Exemptions and Other Special Trade Provisions Resolution Conf recommended that: a) for the purposes of Article VII, paragraph 2, of the Convention, the date on which a specimen is acquired be: i) for live and dead animals or plants taken from the wild: the date of their initial removal from their habitat; or ii) for parts and derivatives: the date of their introduction to personal possession, whichever date is the earliest; b) the certificate referred to in Article VII, paragraph 2, only be issued by a Management Authority of an exporting country where it is satisfied that at the date on which a specimen was acquired: - the species involved was not listed in one of the Convention Appendices; or - its country was not a Party to the Convention; or - the specimen concerned was subject to a reservation entered by its country with regard to the species involved; At the ninth meeting of the Conference of the Parties, it was decided (Decision 9.6) that the Parties should not issue permits (sic) for pre-convention stocks, except for export to countries having become Parties to the Convention after the date of entry into force of the Convention in the issuing country or for export to states not party to the Convention. This decision made no sense for stocks that were acquired before the listing of the species concerned, but after both the exporting and importing country became parties to the Convention. It is further unclear why the decision was limited to exporting countries and was not directed to re-exporting countries as well. c) the certificate referred to in Article VII, paragraph 2, only be issued by a Management Authority of a re-exporting country where it is satisfied that at the date on which a specimen was acquired: - the species involved was not listed in one of the Convention Appendices; or - the country of origin was not a Party to the Convention; or - the specimen concerned was subject to a reservation entered by the country of origin with regard to the species involved; in addition to the second and third considerations, its own country: - was not a Party to the Convention; or 214

218 Chapter 15 Exemptions and Other Special Trade Provisions - was treated as a State not a Party to the Convention with respect to trade in the species concerned under Article XXIII, paragraph 3, of the Convention; d) a Management Authority of an importing country only recognize a pre-convention certificate issued by another party State if the date of acquisition of the specimen is anterior to the date at which the Convention entered into force in the country of import for the specimen concerned; e) Parties which issue a pre-convention certificate either indicate on this certificate the precise date of acquisition of the specimen concerned or certify that this specimen was acquired before a specific date; f) a specimen be not qualified for the Article VII, paragraph 2, exemption if neither of the dates referred to in e) can be determined; g) Parties not accept pre-convention certificates which have not been issued in compliance with this Resolution; and h) in the case of a species uplisted, i.e. from Appendix III to II or I, or from Appendix II to I, or downlisted from Appendix I to II or III, specimens concerned shall be subject to the provisions applicable to them at the time of export, re-export or import. The Resolution called on Parties to take any necessary measures in order to prevent the undue acquisition of specimens of a species between the date at which the Conference of the Parties approves the inclusion of that species in Appendix I and the date at which the inclusion takes effect. In 2004, the Conference of the Parties repealed Resolution Conf with Resolution Conf. 13.6, which greatly simplifies the determination of whether a specimen was acquired before the Convention applied to it or not. The fact that Resolution Conf recommends that the date from which the provisions of the Convention apply to a specimen be the date on which the species concerned was first included in the Appendices does not solve all problems however. Like for paragraph h) of Resolution Conf. 5.11, I see an inconsistency with the basic idea behind the exemption of Article VII.2 in so far as it is recommended to treat specimens, acquired during an Appendix II or III listing, as Appendix-I specimens after the uplisting of the species involved. A specimen that was acquired when the species concerned was listed in Appendix II or III, but which has meanwhile been transferred to Appendix I should in my view be treated as an Appendix-II or III specimen. There are numerous Parties, which are of the same view and which give the specimens concerned a pre-appendix I treatment on the basis of Article VII, paragraph 2. This view is in a way supported by the last paragraph of the Resolution, which calls on Parties to take any necessary measures in order to prevent excessive acquisition of specimens of a species between the date on which the Conference of the Parties approves 215

219 Chapter 15 Exemptions and Other Special Trade Provisions the inclusion of that species in Appendix I and the date on which the inclusion takes effect. The intention of this provision is to prevent that the three months period before the listing takes effect is used to stockpile specimens for trade thereafter. In view of the other recommendations of the Resolution - which imply that the current status of a species in the Appendices should apply - an amendment to the text should have limited its scope to species that are listed in Appendix I without first having been listed in Appendix II or III. The appeal to the Parties was, by the way, copied from Resolution Conf. 7.8, which, in 1989, because of the transfer of the African elephant from Appendix II to Appendix I, recommended that all Parties implement stricter domestic controls on trade in African elephant ivory under the Appendix-I listing with immediate effect, in anticipation of the formal entry into force of the amendment. It was then clearly also believed that the Appendix II ivory could be traded after the transfer to Appendix I. And what to do with specimens that were legally acquired when the species concerned was in Appendix I and now is in Appendix II? Those can be traded under Appendix II provisions. Resolution Conf notes that the implementation of the exemption has given rise to a series of difficulties, both of a technical and of a more fundamental nature. It notes further that Resolution Conf has been found to solve only partly the problems related to the implementation of Article VII, paragraph 2. It recognizes the crucial role of importing Parties in implementing Article VII, paragraph 2, and the right of Parties, under Article XIV, paragraph 1, of the Convention to apply stricter domestic measures to the import of specimens covered by pre-convention certificates (from Resolution Conf. 5.11). The Conference of the Parties recommends that, for the purposes of Article VII, paragraph 2: a) the date from which the provisions of the Convention apply to a specimen be the date on which the species concerned was first included in the Appendices; and b) the date on which a specimen is acquired be considered as the date the specimen was known to be either: i) removed from the wild; or ii) born in captivity or artificially propagated in a controlled environment; or iii) if such date is unknown or cannot be proved, any subsequent and provable date on which it was first possessed by a person. 216

220 Chapter 15 Exemptions and Other Special Trade Provisions It further recommends that: a) Parties include on all pre-convention certificates issued either the precise date of acquisition of the specimens concerned or a certification that the specimens were acquired before a specific date, in accordance with paragraph b) above, and advise the holder of such a certificate to check with potential importers or with the Management Authority of the intended country of destination whether the latter will accept the certificate for import; and b) Parties accept pre-convention certificates only if they have been issued in compliance with this Resolution. The Resolution calls on Parties to take any necessary measures in order to prevent excessive acquisition of specimens of a species between the date on which the Conference of the Parties approves the inclusion of that species in Appendix I and the date on which the inclusion takes effect. See comment on page 216. Personal effects and household goods Article VII, paragraph 3 The provisions of Articles III, IV and V shall not apply to specimens that are personal or household effects. This exemption shall not apply where: (a) in the case of specimens of a species included in Appendix I, they were acquired by the owner outside his State of usual residence, and are being imported into that State; or (b) in the case of specimens of species included in Appendix II: (i) they were acquired by the owner outside his State of usual residence and in a State where removal from the wild occurred, (ii) they are being imported into the owner s State of usual residence, and (iii) the State where removal from the wild occurred requires the prior grant of export permits before any export of such specimens, unless a Management Authority is satisfied that the specimens were acquired before the provisions of the present Convention applied to such specimens. 217

221 Chapter 15 Exemptions and Other Special Trade Provisions The regulation of the movement of personal effects and household goods is one of the most complicated to effectively implement and enforce, not least as a result of the way in which the text of the Convention addresses the issue. For Appendix-I specimens the situation is relatively clear: - Article III does not apply to personal or household effects which somebody has acquired in his own country and with which he travels to other countries, and - Article III does apply in case somebody travels abroad, buys an Appendix-I specimen and imports it into his own country. He needs an export permit or re-export certificate when leaving the country of origin or re-export and an import permit when entering his own country. If he travels through other countries on his way home, Article III does not apply. For Appendix-II specimens the situation is much more complicated: The use of acquired... in a State where removal from the wild occurred in paragraph (b)(i) implies that the exemption applies to Appendix-II specimens acquired in another country than the country of origin. Paragraph (b)(iii), however, could be taken to make it necessary to find out whether that country of origin requires the prior grant of export permits before any export of such specimens. The following interpretation of paragraph (b)(iii) is the most logical, causes the least complications, makes the exemption better enforceable and is therefore probably the only correct interpretation: - the State where removal from the wild occurred is the same as a State where removal from the wild occurred in paragraph (b)(i). - any export of such specimens refers to the export of specimens that are personal or household effects. The result of this interpretation is that: - Article IV does not apply to personal or household effects, which somebody has acquired in a foreign country, which is not the country of origin of the species concerned. - Article IV does not apply to personal or household effects which somebody has acquired in a foreign country which is the country of origin of the species concerned but not a Party to the Convention, or a Party which has entered a reservation with regard to the species involved, or which does not require permits for the export of Appendix II personal and household effects. - Article IV does not apply to personal or household effects that somebody has acquired in his own country and with which he travels to other countries. 218

222 Chapter 15 Exemptions and Other Special Trade Provisions - Article IV does apply in case somebody travels abroad, buys an Appendix-II specimen in a country which is the country of origin and a Party to CITES requiring a permit for the export of personal and household effects and imports it into his own country. He needs an export permit when leaving the country of origin and when entering his own country. If he travels through other countries on his way home, Article IV does not apply. With regard to Appendix-I and -II specimens, paragraph 3 further exempts personal or household effects from the provisions of Articles III and IV where a Management Authority is satisfied that the specimens were acquired before the Convention applied to such specimens. This provision exempts the owner from the need to present the pre- Convention certificate referred to in Article VII.2 where the Management Authority is satisfied otherwise. This will of course require some kind of documentary or other evidence. Only for Appendix-III specimens the position is perfectly clear. The provisions of Article V do not apply to specimens that are personal or household effects. A draft Resolution submitted to the sixth meeting of the Conference of the Parties proposed a comprehensive, realistic and pragmatic approach of the issue of personal effects (including tourist souvenirs) and household goods. This proposal (which implied no controls on Appendix II personal effects and the concentration of efforts on Appendix I species) was not adopted, but the Conference recognized with Resolution Conf. 6.8 that the implementation of Article VII.3 had, particularly with regard to Appendix-II specimens, given rise to serious enforcement difficulties and that the enforcement of the Convention with regard to personal and household effects was far from effective. It requested the Standing Committee to further examine the matter of tourist souvenir specimens and to provide recommendations to the seventh meeting of the Conference of the Parties. In view of the failure of previous attempts to improve the situation, the Standing Committee abandoned the subject. A proper regulation of trade in personal effects, household goods and tourist souvenirs would, it agreed, only be possible by amending Article VII.3 of the Convention. Resolution Conf dealt with the control of trade in tourist souvenir specimens and was incorporated in Resolution Conf. 13.7, now Rev. CoP14. The 12th meeting of the Conference of the Parties adopted a further Resolution, Resolution Conf. 12.9, which duplicated several recommendations contained in other Resolutions (i.e. 9.7, 10.6, and 12.7). An important step forward, however, was the adoption of a definition of 'personal and household effects', which is now contained in Resolution Conf (Rev. CoP14), the latest comprehensive Resolution on the issue. Resolution Conf (Rev. CoP14) considers that the Convention does not define the term personal or household effects. 219

223 Chapter 15 Exemptions and Other Special Trade Provisions It considers that the exemption in Article VII, paragraph 3, of the Convention does not apply to specimens of Appendix-I species that are souvenirs being imported by a person returning to his State of usual residence and the exemption does not apply to specimens of Appendix-II species that are souvenirs being imported by a person returning to his State of usual residence if the specimens were taken from the wild in a State requiring the granting of export permits before the export of such specimens. It recognizes, however, that export permits are frequently not required by exporting countries. It notes that for Parties other than the exporting and importing Parties such specimens of Appendix-II species are, under Article VII, exempt from CITES provisions. This is also the case for specimens of Appendix I species. The Conference of the Parties recognizes that Parties currently implement Article VII, paragraph 3, in varying ways and that there should be uniform application of the exemption for personal or household effects. It recalls Resolution Conf (now Rev. CoP14) which recommends a limit on the number of rainsticks per person to be considered as personal effects and Resolution Conf (Rev. CoP14) which recommends a limit on the quantity of caviar per person to be considered as personal effects. The reference to Resolution Conf (Rev. CoP14) is wrong as, since CoP 13, that Resolution no longer contains the recommendation that Parties consider the harmonization of their national legislation related to personal exemptions for rainsticks of Cactaceae spp. granted under the personal effects exemption under Article VII, paragraph 3, and consider limiting this exemption to no more than three rain sticks of the species concerned per person. It recalls that the Convention does not make special provision for airport lounges (including duty-free shops), free ports or non-customs zones, because each Party is deemed to have sovereignty over the whole of its territory, and to apply the Convention accordingly. It recognizes that parts and derivatives of species listed in Appendices I and II continue to be widely sold as tourist souvenir specimens and that specimens of Appendix-I species continue, in some countries, to be offered for sale at gift shops at international airports and other places (including duty-free areas) catering largely to international travellers. It further recognizes that the sale of specimens of Appendix-I species in places of international departure may encourage, either intentionally or unintentionally, the illegal export of such items, and that such export is an issue of concern with respect to the conservation of such species and acknowledges that sale of tourist souvenir specimens of Appendix-I species can in some cases form a substantial part of a trade which could threaten the survival of such species. 220

224 Chapter 15 Exemptions and Other Special Trade Provisions The Conference of the Parties recognizes that there is still widespread public ignorance of the purpose and requirements of the Convention and of domestic legislation relating to trade in endangered species and that international airports, seaports and border crossings provide an excellent opportunity for educational displays informing travellers about the requirements of the Convention, and that sales of tourist souvenir specimens in such places may seriously detract from that educational message. It acknowledges that Article XIV, paragraph 1, of the Convention allows both importing and exporting Parties to take stricter domestic measures and considers that effective implementation of these provisions will be strengthened by a clarification of the measures taken by Parties in accordance with Article XIV, paragraph 1. This paragraph is at odds with other parts of the Resolution: In the preamble, the Conference of the Parties recognizes that Parties currently implement Article VII, paragraph 3, in varying ways and that there should be uniform application of the exemption for personal or household effects. In the last paragraph of the Resolution, the Conference of the Parties therefore encourages Parties to harmonize their national legislation with regard to the Resolution. Definition of personal or household effect The Conference of the Parties decides that the term personal or household effects contained in Article VII, paragraph 3, means specimens that are: a) personally owned or possessed for non-commercial purposes; b) legally-acquired; and c) at the time of import, export or re-export either: i) worn, carried or included in personal baggage; or ii) part of a household move. The reference to re-export only concerns specimens of Appendix I species as Articles IV and V do not apply to Appendix II and III personal and household effects acquired outside the country of origin. Note: Resolution Conf extends this definition by providing that a) the term personal or household effects in Article VII, paragraph 3, for the purpose of the application of this Resolution, include personally owned live animals that are based and registered in the owner's State of usual residence. 221

225 Chapter 15 Exemptions and Other Special Trade Provisions Definition of tourist souvenir The Conference of the Parties also decides that, for the purposes of this Resolution, the term tourist souvenir specimen shall apply only to personal and household effects acquired outside the owner's State of usual residence and not be applied to live specimens. It agrees that Parties shall: a) regulate the cross-border movements of legally acquired, personally owned live animals of species listed in the Appendices of CITES in accordance with Resolution Conf ; See page 226. b) not require export permits or re-export certificates, for personal or household effects which are dead specimens, parts or derivatives of Appendix-II species except: i) where they have been advised through a Notification from the Secretariat or on the CITES website that the other Party involved in the trade requires such documents; or This is incorrect for several reasons: First of all, the re-export of Appendix II personal and household effects is completely exempted, as are personal and household effects acquired in another country than the country of origin. The text should therefore not have included re-export certificates. A second problem is that the agreement of the Conference of the Parties, that they no export permits should be required, is addressed to all parties, where it should have been limited to exporting countries. Only where an exporting country requires an export permit the exemption does not apply. Reference to the other Party involved in the trade implies that importing countries can, as a stricter domestic measure, require export permits for specimens to which Article IV of the Convention does not apply and thus force exporting countries to issue such permits. This is certainly inappropriate. 222

226 Chapter 15 Exemptions and Other Special Trade Provisions Limits for rainsticks, crocodilian specimens, queen conches, sea horses and giant clams without permits ii) for the following, where the quantity exceeds the specified limits: caviar of sturgeon species (Acipenseriformes spp.) up to a maximum of 125 grams per person whereby the container has to be labelled in accordance with Resolution Conf (Rev. CoP14), see page 746; The reduction of the maximum weight from 250 to 125 grams was decided at CoP 14. rainsticks of Cactaceae spp. up to three specimens per person; - specimens of crocodilian species up to four specimens per person; queen conch (Strombus gigas) shells up to three specimens per person; seahorses (Hippocampus spp.) up to four specimens per person; 223

227 Chapter 15 Exemptions and Other Special Trade Provisions giant clam (Tridacnidae spp.) shells up to three specimens, each of which may be one intact shell or two matching halves, not exceeding 3 kg per person; c) advise their Customs administrations of the treatment of personal or household effects under CITES; d) take all necessary steps, including inspection and provision of information to merchants, to prohibit the sale of tourist souvenir specimens of Appendix-I species in places of international departure, such as international airports, seaports and border crossings and particularly in duty-free areas beyond Customs control points; e) provide information through displays and by other means, in all relevant languages, in places of international departure and arrival, informing travellers about the purpose and requirements of the Convention, and of their responsibilities with respect to international and domestic laws relating to the export and import of specimens of wild fauna and flora; and f) in collaboration with national and international tourist agencies, carriers, hotels and other relevant bodies, take all possible steps to ensure that tourists and persons with diplomatic privileges travelling abroad are made aware of the import and export controls that are or may be in force with respect to items derived from CITES species; The Conference of the Parties recommends that the Parties follow the Guidelines contained in the Annex to this Resolution, if they wish to amend the list contained in paragraph b) ii) above; It urges that: a) all Parties comply fully with the requirements of Article III of the Convention with respect to tourist souvenir specimens of Appendix-I species; and b) importing countries experiencing problems with imports of tourist souvenir specimens notify the relevant exporting countries and the CITES Secretariat accordingly; The Standing Committee is directed to consider ways of assisting any Party which informs the Committee of difficulties in the application of this Resolution. The Conference of the Parties finally encourages Parties to harmonize their national legislation with regard to this Resolution. The development to exclude different quantities of specimens for an increasing number of species does of course not add to the simplification of CITES requirements, not for private individuals nor for customs authorities. Decision directed the Standing 224

228 Chapter 15 Exemptions and Other Special Trade Provisions Committee to develop a process for further exemptions from permitting requirements subject to quantitative limits. This resulted in the following Annex to Resolution Conf (Rev. CoP14): Guidelines for amending the list of personal and household effects of Appendix-II species with quantitative limits 1. Any proposal for adding to, deleting from or otherwise amending the list of personal and household effects of Appendix-II species with quantitative limits, including the quantitative limit set, should be initiated by a Party. In fact anybody can initiate a proposal, but it has to be submitted to the Conference of the Parties by a Party. 2. The proposal should contain supporting information and a justification, including an indication of whether the proposal is being made primarily for enforcement or conservation purposes. 3. Parties should make every effort not to lengthen unnecessarily the list of personal and household effects with quantitative limits. 4. In support of such proposals submitted to the Parties to the Conference of the Parties for discussion and decision, it is recommended that the following information be contained in any such proposal: a) an assessment of the impact of the proposal, drawn from consultations with range States, producer countries and consumer countries; and b) an assessment of the enforceability of the proposal. In addition to the revised Resolution, the Conference of the Parties adopted Decision (Rev. CoP15) which instructs the Standing Committee to extend the operation of its Working Group on Personal and Household Effects until the 16th meeting of the Conference of the Parties (CoP16) and oversee the Group s work in fulfilling the following terms of reference: a) clarify the relationship between 'tourist souvenirs', hunting trophies and 'personal and household effects'; b) clarify the interpretation of Article VII, paragraph 3 (b), of the Convention; c) assess whether there are specific species or types of personal or household effects which, in view of conservation concerns, would require different treatment under Resolution Conf (Rev. CoP14); 225

229 Chapter 15 Exemptions and Other Special Trade Provisions d) collate information about how each Party has implemented Resolution Conf (Rev. CoP14), particularly with regard to requirements for export permits, and assess whether this indicates the need to amend the Resolution; and e) report at each regular meeting of the Standing Committee until CoP16 and at CoP16. Frequent trans-border movements of personally owned live animals In many cases, live animals such as pets and birds of prey used for falconry, meet the criteria of Resolution Conf (Rev. CoP14), particularly where they have been acquired in the owner s country of usual residence. On the basis of Article VII, paragraph 3 they are exempt from the provisions of the Convention. Many Parties, however, wish to control the movement of live animals across their borders and the exemption is hardly applied to them. The frequent transborder movement of falconers with one or more birds in particular leads, however, to the issue of useless series of CITES documents. This may even distort the picture of the trade in birds of prey in annual reports. Resolution Conf provides the Parties with a solution, which can also be used for pets. It reads as follows: RECALLING that Article VII, paragraph 3, of the Convention provides that, other than in certain circumstances, the provisions of Articles III, IV and V shall not apply to specimens that are personal or household effects; RECOGNIZING that, because the Convention does not define the term personal or household effects, in Article VII, paragraph 3, this term may be interpreted by the Parties in different ways; NOTING that Resolution Conf (Rev.), adopted at the eighth meeting of the Conference of the Parties (Kyoto, 1992) and revised at the 11th meeting (Gigiri, 2000), recognizes the use of coded microchip implants for marking live animals of Appendix-I species in trade, without excluding the use of other appropriate methods; AWARE that live animals of species listed in the Appendices to the Convention are often involved in frequent movement across international borders for a variety of legitimate purposes, including but not limited to companion or competition animals, and animals moved as household effects or for falconry; NOTING that the repeated granting of permits and certificates under Article III, IV, V or VII of the Convention for live animals that undergo frequent movement across interna- 226

230 Chapter 15 Exemptions and Other Special Trade Provisions tional borders poses problems of a technical and administrative nature, and that such movement needs to be monitored closely to prevent illegal activities; The reference to Article V is wrong as Article VII, paragraph 3 completely exempts personal and household effects of Appendix III species. DESIRING that exemptions provided by the Convention not be used to avoid the necessary measures for the control of international trade in live animals of species listed in the Appendices; RECOGNIZING that Article XIV, paragraph 1 (a), of the Convention states that the provisions of the Convention shall in no way affect the right of Parties to adopt stricter domestic measures regarding the conditions of trade, taking, possession or transport of specimens of species included in Appendix I, II or III, or the complete prohibition thereof; This is yet another occasion where a Resolution, attempting to establish a harmonized approach, more or less suggests the use of stricter domestic measures. It recommends that: a) the term personal or household effects in Article VII, paragraph 3, for the purpose of the application of this Resolution, include personally owned live animals that are based and registered in the owner's State of usual residence; b) although any Party may issue a certificate of ownership to the personal owner of a legally acquired live animal who wishes to travel to other States with the animal as a personal or household effect, it should do so only after agreement between the Parties concerned and if the usual residence of the owner is in the territory of such Party and the animal is registered with the Management Authority of that Party; c) a Management Authority not issue a certificate of ownership for a live animal of a species listed in the Appendices that is a personal or household effect unless it is satisfied that the live animal is legally possessed by the applicant and that the animal has not been acquired in contravention of the provisions of the Convention; d) the Management Authority require the applicant for a certificate of ownership to provide his name and address and pertinent data regarding the live animal, including the species, sex and mark number or other means of identification; e) the certificate issued in accordance with paragraph b) above include in box 5, or in another box if the standard form referred to in Resolution Conf (Rev. CoP15) is not used, the following language: The specimen covered by this certificate, which permits multiple cross-border movements, is owned for personal non-commercial use and may not be transported for commercial purposes. If the certificate holder is no longer in the possession of the live ani- 227

231 Chapter 15 Exemptions and Other Special Trade Provisions mal, the certificate must be immediately returned to the issuing Management Authority ; f) when a live animal that is the subject of a certificate of ownership issued pursuant to this Resolution is no longer in the possession of the owner (escape, death, sale, theft, etc.), the original certificate of ownership be immediately returned to the issuing Management Authority; g) a certificate of ownership issued for a live animal as a personal or household effect be valid for a maximum period of three years to allow multiple imports, exports and reexports of the animal; h) the Parties concerned treat each certificate of ownership as a type of passport that allows the movement of a live animal accompanied by its owner across their borders upon presentation of the original certificate to the appropriate border control officer who: i) inspects the original and validates it with an ink stamp, signature and date to show the history of movement from State to State; and ii) does not collect the original at the border, but allows it to remain with the specimen; i) the Parties concerned inspect such a live animal to ensure that it is transported and cared for in a manner that minimizes the risk of injury, damage to health or cruel treatment; j) the Parties concerned require that any live animal that is a personal or household effect be securely marked or otherwise appropriately identified and that this mark be included on the certificate of ownership so that the authorities of the State into which the live animal enters can verify that the certificate corresponds to the live animal in question; It should be noted that this paragraph applies to any live animal that is a personal or household effect, of course limited to CITES-listed species, but not to animals for which a certificate of ownership is issued. The reason is not only to facilitate controls in the country of destination and the text should therefore have referred to all border controls. k) when, during a stay in another State, a live animal travelling under a certificate of ownership produces progeny, the holder of the certificate comply with the requirements of Article III, IV or V to export such progeny from the State where it was produced and to import it into the holder s State of usual residence. For progeny produced from an animal travelling under a certificate of ownership, a certificate of ownership may be issued after it has been moved to the State of usual residence of the owner of the parent; 228

232 Chapter 15 Exemptions and Other Special Trade Provisions The reference to Article V is here again inappropriate because Article VII.3 exempts Appendix III species completely. l) when, during a stay in another State, a certificate of ownership for a live animal is lost, stolen or accidentally destroyed, only the Management Authority that issued the document may issue a duplicate. This duplicate will bear the same number if possible and the same date of validity as the original document and a new date of issuance, and contain the following statement: This certificate is a true copy of the original ; m) in accordance with paragraph e) above, the owner not sell or otherwise transfer a live animal that is a personal or household effect when travelling outside of his State of usual residence; and The question is whether this should apply to the progeny referred to in letter k). n) Parties maintain records of the number of certificates of ownership issued under this Resolution and if possible include the certificate numbers and the scientific names of the species concerned in their annual reports. Scientists and scientific institutions Article VII, paragraph 6 The provisions of Articles III, IV and V shall not apply to the non-commercial loan, donation or exchange between scientists or scientific institutions registered by a Management Authority of their State, of herbarium specimens, other preserved, dried or embedded museum specimens and live plant material which carry a label issued or approved by a Management Authority. This provision is currently the subject of Resolution Conf (Rev. CoP12), which consolidates the earlier recommendations, contained in Resolutions Conf. 1.4 and Conf With Resolution Conf (Rev. CoP12) the Conference of the Parties encourages Parties to register their scientific institutions to facilitate scientific exchange of specimens needed to conduct taxonomic and species-conservation research. It urges Parties to contact scientists and scientific institutions in the territory under their jurisdiction to facilitate greater understanding of the scientific exchange provisions of Article VII, paragraph 6, on the non-commercial loan, donation or exchange of scientific specimens; 229

233 Chapter 15 Exemptions and Other Special Trade Provisions It recommends that: a) Parties take every opportunity within the scope of the Convention to encourage scientific research on wild fauna and flora, where this may be of use in conserving species that are threatened with extinction or that may become so; b) in order to reduce the potential impact of research, the Parties encourage their natural history museums and herbaria to inventory their holdings of rare and endangered species and make that information widely available to the Parties and the research community. These inventories will allow researchers to efficiently borrow specimens for study; c) addenda should be added to the inventories as specimens become available. Scientific and Management Authorities of the Parties can use the information in determining whether further collecting of some rare species may be justifiable, or whether the need already can be met by borrowing specimens from other museums; d) Parties urge their museums and herbaria to undertake such inventories and make such information available; and e) Parties implement the exemption for scientific exchange in Article VII, paragraph 6, as follows: i) registration of scientific institutions should be done in a manner that extends the exemption to all scientific institutions meeting certain standards in each Party as determined to be bona fide upon the advice of a Scientific Authority; ii) each Management Authority should communicate to the Secretariat as soon as practicable the names and addresses of those scientific institutions so registered, and the Secretariat without delay then communicate this information to all other Parties; iii) the requirement that the container used to transport the specimens carry a label issued or approved by a Management Authority should be met by authorizing the use of Customs Declaration labels, provided they bear the acronym CITES, identification of contents as herbarium specimens, preserved, dried or embedded museum specimens or live plant material for scientific study, the name and address of the sending institution and the codes of the exporting and importing institutions over the signature of a responsible officer of that registered scientific institution; or a label issued by a Management Authority containing the same information and the users of which would be responsible to that body; iv) to prevent abuse of this exemption, it should be limited to shipments of legally obtained specimens between registered scientific institutions and, if trade is to or from a non- Party, the Secretariat shall ensure that the institution in this State meets the same standards for registration, as indicated by competent authorities of the non-party governments; 230

234 Chapter 15 Exemptions and Other Special Trade Provisions v) the exemption should be applied to include frozen museum specimens, duplicate herbarium specimens, and all other types of scientific specimens named in Article VII, paragraph 6, including those that are legally collected in one State for shipment to another State as non-commercial loans, donations, or exchanges; vi) the standards for registration of scientific institutions should be as follows: A. collections of animal or plant specimens, and records ancillary to them, permanently housed and professionally curated; B. specimens accessible to all qualified users, including those from other institutions; C. all accessions properly recorded in a permanent catalogue; D. permanent records maintained for loans and transfers to other institutions; E. specimens acquired primarily for purposes of research that is to be reported in scientific publications; F. specimens prepared and collections arranged in a manner that ensures their utility; G. accurate data maintained on specimen labels, permanent catalogues and other records; H. acquisition and possession of specimens accord with the laws of the State in which the scientific institution is located; and I. all specimens of species included in Appendix I permanently and centrally housed under the direct control of the scientific institution, and managed in a manner to preclude the use of such specimens for decoration, trophies or other purposes incompatible with the principles of the Convention; vii) scientists who keep private collections should be encouraged to affiliate with registered scientific institutions in order that they may take advantage of the exemption provided in Article VII, paragraph 6; viii) all States should take precautions to avoid damage or loss to science of museum and herbarium specimens or of any accompanying data; ix) this exemption should be implemented to ensure that non-commercial exchange of scientific specimens is not interrupted and that it occurs in a way consistent with the terms of the Convention; and x) a five-character coding system for identifying registered institutions should be adopted; the first two characters should be the two-letter country code established by the International Organization for Standardization, as provided in the CITES Directory; the last 231

235 Chapter 15 Exemptions and Other Special Trade Provisions three characters should be a unique number assigned to each institution by a Management Authority, in the case of a Party, or by the Secretariat, in the case of a non-party; Decision directs the Secretariat to develop a brochure that will illustrate the importance of registering scientific institutions. This brochure is not yet available. Decision provides that the Parties shall: a) Contact their national scientific institutions and inform them about the implications and benefits under Article VII, paragraph 6, and Resolution Conf (Rev. CoP12); and b) Apply Article VII, paragraph 6, by registering scientific institutions in accord with Resolution Conf (Rev. CoP12). c) In compliance with Decision 12.79, support the preparation of an information brochure. Travelling exhibitions Article VII, paragraph 7 A management authority of any State may waive the requirements of Articles III, IV and V and allow the movement without permits or certificates of specimens which form part of a travelling zoo, circus, menagerie, plant exhibition or other travelling exhibition provided that: (a) the exporter or importer registers full details of such specimens with that Management Authority; (b) the specimens are in either of the categories specified in paragraph 2 or 5 of this Article; and (c) the Management Authority is satisfied that any living specimen will be so transported and cared for as to minimize the risk of injury, damage to health or cruel treatment. 232

236 Chapter 15 Exemptions and Other Special Trade Provisions In Resolution Conf. 8.16, the Conference of the Parties noted that the application of the measures of Article VII.7 posed problems of a technical nature and was a source of fraud. It expressed the desire that exemptions provided by the Convention not be used to avoid the necessary measures for the control of international trade in specimens listed in the Appendices to the Convention. The Resolution was repealed. Resolution Conf (Rev. CoP15) on Permits and Certificates now contains recommendations concerning traveling exhibitions. It also contains the model of an agreed special certificate, see page 187. In Section VI, regarding travelling-exhibition certificates, the Conference of the Parties recommends that: a) each Party issue a travelling-exhibition certificate for CITES specimens belonging to a travelling exhibition based in its State, registered with the Management Authority and wishing to transport specimens of CITES species to other States for exhibition purposes only, on the condition that they were legally acquired and will be returned to the State in which the exhibition is based and that they were: i) acquired before 1 July 1975 or before the date of inclusion of the species in any of the Appendices of the Convention; ii) bred in captivity as defined in Resolution Conf (Rev.); or iii) artificially propagated as defined in Resolution Conf (Rev. CoP15); b) travelling-exhibition certificates should be based on the model included in Annex 3 of the present Resolution. They should be printed in one or more of the working languages of the Convention (English, Spanish or French) and in the national language if it is not one of these; c) travelling-exhibition certificates should contain the purpose code Q and include in block 5, or in another block if the model form is not used, the following language: "The specimen/s covered by this certificate may not be sold or otherwise transferred in any State other than the State in which the exhibition is based and registered. This certificate is non-transferable. If the specimen/s dies/die, is/are stolen, destroyed, lost, sold or otherwise transferred, this certificate must be immediately returned by the owner to the issuing Management Authority"; d) a separate travelling exhibition certificate must be issued for each live animal; e) for travelling exhibitions of specimens other than live animals, the Management Authority should attach an inventory sheet that contains all of the information in blocks 9 to 16 of the model form for each specimen; 233

237 Chapter 15 Exemptions and Other Special Trade Provisions f) travelling-exhibition certificates should be valid for not more than three years from the date on which they were granted to allow multiple imports, exports and re-exports of the individual specimens that they cover; g) Parties consider such travelling-exhibition certificates as proof that the specimens concerned have been registered with the issuing Management Authority and allow the movement of such specimens across their borders; h) at each border crossing, Parties endorse travelling-exhibition certificates with an authorized stamp and signature by the inspecting official and allow the certificates to remain with the specimens; i) Parties check travelling exhibitions closely, at the time of export/re-export and import, and note especially whether live specimens are transported and cared for in a manner that minimizes the risk of injury, damage to health or cruel treatment; j) Parties require that specimens be marked or identified in such a way that the authorities of each State into which an exhibition enters can verify that the travelling-exhibition certificates correspond to the specimens being imported; k) when, during a stay in a State, an animal in possession of an exhibition gives birth, the Management Authority of that State be notified and issue a Convention permit or certificate as appropriate; l) when, during a stay in a State, a travelling-exhibition certificate for a specimen is lost, stolen or accidentally destroyed, only the Management Authority which has issued the document may issue a duplicate. This duplicate paper certificate will bear the same number, if possible, and the same date of validity as the original document, and contain the following statement: "This certificate is a true copy of the original"; and m) Parties include in their annual reports a list of all travelling-exhibition certificates issued in the year concerned. The use of ATA carnets With Decision 9.23, the Conference of the Parties directed the Secretariat to explore with the World Customs Organization ways to require on ATA Carnets the inclusion of numbers of any CITES permits and certificates covering live animals of species included in the CITES Appendices that are a part of travelling exhibitions. This apparently did not work as Resolution Conf did not mention this idea at all. It merely recognized that Articles III, IV and V of the Convention lay out the need for permits and certificates for shipments of specimens of species included in Appendices I, II and III. It further stated that shipments not covered by the exemptions specified in Article VII of the Convention and travelling on an ATA or TIR carnet still require appropriate 234

238 Chapter 15 Exemptions and Other Special Trade Provisions CITES documentation. It mentioned that many shipments of specimens of CITES species travelling on an ATA or TIR carnet without appropriate CITES documentation had been refused entry into either the importing country or the country of (re-)export upon return. The Resolution recommended that all Parties ensure that their Management Authorities issue the appropriate documents for shipments travelling on ATA and TIR carnets and urges all Parties to communicate with their Customs and other CITES enforcement officials to ensure that all CITES shipments travelling on these carnets comply with the applicable provisions of CITES. The 12th meeting of the Conference of the Parties revived the issue and adopted Decision 12.77, which directed the Standing Committee to, in consultation with other relevant conventions and organizations, namely the World Customs Organization, ATA and TIR, examine the procedures and conditions for a CITES certificate becoming an Annex to an ATA or TIR carnet, on the basis of document CoP12 Doc presented at the 12th meeting of the Conference of the Parties. This resulted in an addition to the interpretation of 'transit or transshipment' in Resolution Conf. 9.7 (Rev. CoP13), which also urges, like Resolution Conf did, all Management Authorities to communicate with the Customs and other competent CITES enforcement officials to ensure that all CITES shipments travelling on ATA or TIR carnets comply with the applicable provisions of CITES. The work since CoP 12 further resulted in a new section XV of Resolution Conf (Rev. CoP15) in which it is recommended for: Sample collections covered by ATA carnets that: a) for the purpose of the procedure described below, the term sample collection refer to collections of legally acquired dead specimens, parts and derivatives of species included in Appendix II or III and of Appendix-I species bred in captivity or artificially propagated for commercial purposes, which are deemed to be Appendix-II specimens, which are not entitled to be sold or otherwise transferred, and that will cross borders for presentation purposes before returning to the country from which such movement was first authorized; and b) such sample collections be considered as in transit and may be traded under the special provisions stipulated in Article VII, paragraph 1, as explained in Resolution Conf. 9.7 (Rev. CoP15), on the following conditions: 235

239 Chapter 15 Exemptions and Other Special Trade Provisions i) sample collections shall be covered by ATA carnets and be accompanied by a standard CITES permit, on which it shall be indicated that the document is a permit or certificate either for export, re-export or 'other', as appropriate, and, in addition, it shall be clearly specified that the document is issued for a sample collection ; ii) it shall be specified in block 5, or an equivalent place, that This document covers a sample collection and is invalid unless accompanied by a valid ATA carnet. The specimen(s) covered by this certificate may not be sold or otherwise transferred whilst outside the territory of the State that `issued this document. The number of the accompanying ATA carnet should be recorded and, if necessary, this may be entered by the Customs or other CITES enforcement official responsible for the endorsement of the CITES document; iii) the name and address (including the country) of the importer and the exporter or reexporter shall be identical, and in block 5, or an equivalent place, the names of the countries to be visited shall be indicated; iv) the date of expiry of such a document shall not be later than that of the ATA carnet accompanying it and the period of validity shall not be more than six months from the date on which it was granted; v) at each border crossing, Parties shall verify the presence of the CITES permit or certificate but allow it to remain with the collection, and ensure that the ATA carnet is properly endorsed with an authorized stamp and signature by a Customs official; and vi) Parties shall check the CITES permit or certificate and sample collection closely at the time of first export or re-export and on its return, to ensure that the collection was not subject to any change. 236

240 Chapter 16 - Enforcement and Compliance Measures to be taken by the Parties to enforce the Convention Parties to the Convention are obliged to implement the Convention and to have an administrative and legal system in place that ensures that every provision of the Convention is effectively enforced. Where that is the case, a Party complies with the Convention. To fully comply with the Convention and to also implement the many Resolutions, decisions and recommendations of the Conference of the Parties, its committees and the Secretariat is, however, difficult, particularly for developing countries. together in this Chapter. Article VIII concerns the measures to be taken by the Parties, whereas Article XIII lays down a procedure for dealing with noncompliance by Parties. These issues are closely related and are therefore discussed Paragraphs 1(b), 2, 4 and 5 of Article VIII concern the confiscation of illegal specimens and their possible return to the state of export. This is dealt with in Chapter 17. Paragraph 3 deals with the designation of ports of exit and entry and the shipment of live specimens. These issues are discussed in Chapter 34. Article VIII, paragraph 1 The Parties shall take appropriate measures to enforce the provisions of the present Convention and to prohibit trade in specimens in violation thereof. These shall include measures:

241 Chapter 16 Compliance and Enforcement Measures Article VIII.1, paragraph (a) to penalize trade in, or possession of, such specimens, or both; The prohibition and penalization of certain activities involving illegally traded CITES specimens within the jurisdiction of a Party are of course essential for a proper implementation of the Convention. A prohibition of the possession of such specimens is the strictest measure possible and in my view therefore the most appropriate. If the measures are limited to commercial activities, they should at least include the display to the public, the sale, keeping for sale, offering for sale and transporting for sale. One of the major problems in relation to the enforcement of the Convention is the fact that in many Parties penalties are insufficiently high and not much of a deterrent for illegal traders. Communication and reporting on cases of non-compliance The above provisions of Article VIII must be read together with Article XIII, which lays down a procedure for the communication of information on the adverse effects of trade on species or the non-implementation of the Convention between the Secretariat and Parties: Article XIII - International measures 1. When the Secretariat in the light of information received is satisfied that any species included in Appendices I or II is being affected adversely by trade in specimens of that species, or that the provisions of the present Convention are not being effectively implemented, it shall communicate such information to the authorized Management Authority of the Party or Parties concerned. 2. When any Party receives a communication as indicated in paragraph 1 of this Article, it shall, as soon as possible, inform the Secretariat of any relevant facts in so far as its laws permit and, where appropriate, propose remedial action. Where the Party considers that an inquiry is desirable, such inquiry may be carried out by one or more persons expressly authorized by the Party. The last sentence of paragraph 2 is strange. It refers to an inquiry that the Party may consider desirable and which may then be carried out by one or more persons expressly authorized by the Party. It would in my opinion have made more sense if this would have read Where the Secretariat considers that an inquiry is desirable, such inquiry may be carried out by one or more persons expressly authorized by the Party. 3. The information provided by the Party or resulting from any inquiry as specified in paragraph 2 of this Article shall be reviewed by the next conference of the Parties which may make whatever recommendations it deems appropriate. 238

242 Chapter 16 Compliance and Enforcement Measures In spite of the fact that Article XIII provides it with limited powers, past action by the Secretariat has demonstrated that it fulfills this task in the majority of cases rather successfully. Essential for the effectiveness of the Secretariat s action in this context is of course the full, unconditioned support by other Parties, both during the stages referred to in paragraphs 1 and 2 and at meetings of the Standing Committee and, as referred to in paragraph 3, meetings of the Conference of the Parties. Resolution Conf consolidated earlier Resolutions on the subject: parts of Resolution Conf. 2.6, Resolutions Conf. 3.9, Conf. 6.3, Conf. 6.4, Conf. 7.5 and Conf It was itself revised at CoP 13 and 14. At CoP 14, the Conference of the Parties also adopted the following decisions: Decision14.33 charged the Secretariat to: a) convene a meeting of the CITES Enforcement Expert Group to: i) assess progress in implementing the recommendations made by the Group at its meeting in Shepherdstown in 2004; and ii) assess available information relating to any national action plans recommended in Resolution Conf (Rev. CoP14); b) seek external funds to enable a meeting of the Group; c) notify Parties and publish the outcomes of the meeting, including any recommendations, on the CITES website, seeking additional comments; and d) report on this matter at the 58th meeting of the Standing Committee. Decision instructed the Standing Committee to review the Secretariat s report at its 58th meeting and, if appropriate, adopt any recommendations directing the Secretariat to prepare a discussion document or proposed amendments to Resolution Conf (Rev. CoP14) for consideration at the 15th meeting of the Conference of the Parties. This procedure led to the revision of Resolution Conf (Rev. CoP14) at CoP15. Current recommendations These are contained in Resolution Conf (Rev. CoP15), which reads as follows: RECOGNIZING the concerns expressed by various Parties that trade in plants and animals listed in Appendices II and III of the Convention may be detrimental to the survival of some species; AWARE that, in the past, several cases of violation of the Convention have occurred because of inadequate or insufficient implementation by Management Authorities in both exporting and importing countries regarding surveillance, issuance of documentation and control of compliance with the provisions regulating trade in live and dead animal and plants, and their parts and derivatives; 239

243 Chapter 16 Compliance and Enforcement Measures CONSIDERING that it is of utmost moral, biological, ecological and economic interest for all Parties to the Convention that such violations not re-occur and that the mechanisms established for the Convention to this end are fully implemented, so as to ensure their normal and efficient functioning to control trade in, and afford effective protection to, endangered animal and plant species; AWARE that there is considerable variability among Parties in their capacity to implement and enforce the provisions of the Convention; RECOGNIZING that the developing countries, because of their special socio-economic, political, cultural and geographic circumstances have major difficulties in meeting appropriate control requirements, even though this does not exempt them from observing the highest possible degree of effectiveness; RECOGNIZING the extreme difficulties that all producer countries are facing in implementing their own CITES controls, and that such difficulties exacerbate enforcement problems in other Parties, while there are still consumer countries that continue allowing illegal imports as a result of a lack of adequate CITES control; RECOGNIZING that illegal exports from producing countries of specimens of species included in the Appendices cause serious damage to the valuable resources of wildlife, and reduce the effectiveness of their management programmes; ATTENTIVE to the fact that the reservations made by importing countries allow loopholes through which specimens illegally acquired in the countries of origin can find legal markets without any control whatsoever; OBSERVING that some importing countries that maintain reservations refuse to take into consideration the recommendations of the Conference of the Parties in Resolution Conf (Rev. CoP14), weakening in that way the conservation policies of producing countries that wish to protect their wildlife resources; RECOGNIZING that illegal trafficking in wild fauna and flora continues to be a major concern; RECOGNIZING the rapid growth in e-commerce of specimens of CITES-listed species; NOTING the conclusions and recommendations of the meeting on e-commerce of specimens of CITES-listed species in Vancouver (Canada) in February 2009; CONSIDERING that the countries that import these illegally obtained resources are directly responsible for encouraging illegal trade worldwide, and in this way the natural heritage of producing countries is damaged; CONSIDERING that it is essential for the success of the Convention that all Parties implement and comply effectively with all the regulations established by the Convention; CONVINCED that enforcement of the Convention must be a constant concern of the Parties at the highest level if they are to succeed in fulfilling the objectives of the Convention; CONVINCED of the need to strengthen enforcement of the Convention to address serious problems caused by the illegal trafficking of wild fauna and flora, and that the avail- 240

244 Chapter 16 Compliance and Enforcement Measures able resources for enforcement are negligible when compared to the profits gained from such trafficking; RECALLING that Article VIII, paragraph 1, of the Convention provides that the Parties shall take appropriate measures to enforce the provisions of the Convention and to prohibit trade in specimens in violation thereof, and that these shall include measures to provide for the confiscation or return to the States of export of specimens illegally traded; RECOGNIZING that the Preamble of the Convention states that international cooperation is essential for the protection of certain species of wild fauna and flora against overexploitation through international trade; AFFIRMING the obligation of Parties to collaborate closely in the application of the Convention, through expeditious exchange of information on cases and situations related to wildlife trade suspected to be fraudulent, so as to enable other Parties concerned to apply legal sanctions; WELCOMING the adoption of a resolution on law enforcement cooperation at the Asian regional meeting in Israel in March 1994; WELCOMING the Beijing Statement on the Control of Wildlife Trade in the Asian Region, made at a workshop on the subject in Beijing in October 1995, which stated that efforts would be made to create a mechanism for cooperation in law enforcement in the Asian region; WELCOMING recognition by the United Nations Commission on Crime Prevention and Criminal Justice that illicit international trafficking in forest products, including timber, wildlife and other forest biological resources is often perpetrated by individuals and groups, including organized criminal groups that may operate transnationally and that may also be engaged in other illicit activities; and that the UN Convention against Transnational Organized Crime and the UN Convention against Corruption provide additional legal frameworks for international cooperation to combat wildlife crime; RECOGNIZING the contribution to enhancing enforcement of CITES made by the Lusaka Agreement on Cooperative Enforcement Operations Directed at Illegal Trade in Wild Fauna and Flora; RECOGNIZING that the use of dogs in combination with other tools will increase the chance of detections and seizures; that detector dogs can detect items that cannot be detected by other tools; and that a dog-handler team is highly effective in searching people and cargo or luggage in a short time; AWARE of the need for improved cooperation and coordination among CITES authorities and wildlife-law enforcement agencies at the national, regional and international levels; Daisy NOTING the conclusions and recommendations of the CITES Enforcement Expert Group at its meeting in Shepherdstown (United States of America) in February 2004; 241

245 Chapter 16 Compliance and Enforcement Measures CONSIDERING that Article XIII does not specify a time-limit for a Party to respond to a request for information from the Secretariat, and that such a deadline is necessary in order that the absence of response not be interpreted as a refusal to respond; CONSIDERING that the use of certain terms to designate the parts and derivatives of wildlife may give rise to certain offences; RECOGNIZING the important role the Secretariat can play in the enforcement process, and the means provided by Article XIII of the Convention; CONSCIOUS of the Secretariat's role in promoting enforcement of the Convention, as provided by Article XIII, and of the measures that the Secretariat has taken with the International Criminal Police Organization (ICPO-Interpol) and the World Customs Organization to facilitate the exchange of information between enforcement bodies and for training purposes; AWARE that, with the limited funding available, Parties and the Secretariat should make the maximum use of existing inter-governmental enforcement mechanisms and resources, for example mechanisms provided for under the UN Office on Drugs and Crime; AGREEING on the need for additional measures to reduce further the illegal trade in species covered by the Convention; ACKNOWLEDGING that, owing to such high levels of trade in wildlife, it is incumbent upon consumer nations together with producer countries to ensure that trade is legal and sustainable and that enforcement measures adopted and implemented by Parties support conservation in producer countries; RECOGNIZING that illegal trade in specimens of species included in the Appendices of the Convention can cause serious damage to wildlife resources, reduce the effectiveness of wildlife management programmes, undermine and threaten legal and sustainable trade particularly in the developing economies of many producing countries; THE CONFERENCE OF THE PARTIES TO THE CONVENTION Compliance, control and cooperation URGES all Parties to strengthen, as soon as possible, the controls on trade in wildlife in the territories under their jurisdiction, and in particular controls on shipments from producing countries, including neighbouring countries, and to strictly verify the documents originating from such countries with the respective Management Authorities; and RECOMMENDS that: all Parties: i) recognize the seriousness of illegal trade in wild fauna and flora and identify it as a matter of high priority for their national law enforcement agencies; ii) if appropriate, consider formulating national and regional action plans, incorporating timetables, targets and provisions for funding, designed to enhance enforcement of 242

246 Chapter 16 Compliance and Enforcement Measures CITES, achieve compliance with its provisions, and support wildlife-law enforcement agencies; iii) provide officials who have wildlife-law enforcement responsibilities with equivalent training, status and authority to those of their counterparts in Customs and the police; iv) ensure strict compliance and control in respect of all mechanisms and provisions of the Convention relating to the regulation of trade in animal and plant species listed in Appendix II, and of all provisions ensuring protection against illegal traffic for the species included in the Appendices; v) in case of violation of the above-mentioned provisions, immediately take appropriate measures pursuant to Article VIII, paragraph 1, of the Convention in order to penalize such violation and to take appropriate remedial action; and vi) inform each other of all circumstances and facts likely to be relevant to illegal traffic and also of control measures, with the aim of eradicating such traffic; b) Parties should advocate sanctions for infringements that are appropriate to their nature and gravity; c) Parties that are not yet signatories to, or have not yet ratified, the UN Convention against Transnational Organized Crime and the UN Convention against Corruption consider doing so; d) importing Parties in particular not accept under any circumstances or pretext, export or re-export documents issued by any authority, irrespective of its hierarchical level, other than the Management Authority officially designated as competent by the exporting or re-exporting Party and duly notified to the Secretariat; e) if an importing country has reason to believe that specimens of an Appendix-II or -III species are traded in contravention of the laws of any country involved in the transaction, it: i) immediately inform the country whose laws were thought to have been violated and, to the extent possible, provide that country with copies of all documentation relating to the transaction; and ii) where possible, apply stricter domestic measures to that transaction as provided for in Article XIV of the Convention; and f) Parties remind their diplomatic missions, their delegates on mission in foreign countries and their troops serving under the flag of the United Nations that they are not exempted from the provisions of the Convention (from Decision 9.15); 243

247 Chapter 16 Compliance and Enforcement Measures Application of Article XIII RECOMMENDS that: a) when, in application of Article XIII, the Secretariat requests information on an alleged infraction, Parties reply within a time-limit of one month or, if this is impossible, acknowledge within the month and indicate a date, even an approximate one, by which they consider it will be possible to provide the information requested; b) when, within a one year time-limit, the information requested has not been provided, Parties provide the Secretariat with justification of the reasons for which they have not been able to respond; c) if major problems with implementation of the Convention by particular Parties are brought to the attention of the Secretariat, the Secretariat work together with the Parties concerned to try to solve the problem and offer advice or technical assistance as required; d) if it does not appear a solution can be readily achieved, the Secretariat bring the matter to the attention of the Standing Committee, which may pursue the matter in direct contact with the Party concerned with a view to helping to find a solution; and e) the Secretariat keep the Parties informed as fully as possible, through Notifications, of such implementation problems and of actions taken to solve them, and include such problems in its report of alleged infractions, see page 244; Enforcement activities of the Secretariat URGES the Parties, intergovernmental and non-governmental organizations to provide additional financial support for the enforcement of the Convention, by providing funds for the enforcement assistance work of the Secretariat; DIRECTS the Secretariat to utilize such funds towards the following priorities: a) the appointment of additional officers to the Secretariat to work on enforcementrelated matters; b) assistance in the development and implementation of regional law-enforcement agreements; and c) training and technical assistance to the Parties; URGES the Parties to offer secondment of enforcement officers to assist the Secretariat in addressing law-enforcement issues; and DIRECTS the Secretariat to pursue closer international liaison between the Convention's institutions, national enforcement agencies, and existing intergovernmental bodies, particularly the World Customs Organization, the UN Office on Drugs and Crime and ICPO- Interpol; 244

248 Chapter 16 Compliance and Enforcement Measures Communication of information and coordination RECOMMENDS that: a) Management Authorities coordinate with governmental agencies responsible for enforcement of CITES, including Customs and the police, and, where appropriate, sectoral non-governmental organizations, by arranging training activities and joint meetings, and facilitating the exchange of information; b) Parties establish inter-agency committees at the national level, bringing together Management Authorities and governmental agencies responsible for the enforcement of CITES, including Customs and the police; c) Parties, as a matter of urgency, inform the Secretariat of contact details of their relevant national law-enforcement agencies responsible for investigating illegal trafficking in wild fauna and flora; d) Parties, when informed by the Secretariat of the fraudulent use of documents issued by them, carry out an inquiry to identify the instigators of the crime, calling on ICPO- Interpol where necessary; e) when presented with a false document, Parties do everything in their power to determine where the specimens are and where the false document originated and inform the Secretariat and other Parties involved where appropriate; f) Parties work together within their regions to develop appropriate mechanisms for cooperation and coordination between wildlife-law enforcement agencies at the regional level; g) the Secretariat, in consultation with the Standing Committee, establish ad hoc CITES enforcement task forces as needed focusing initially on species included in Appendix I; An example of an ad hoc enforcement task force is the Tiger Enforcement Task Force (TETF), see page 657. h) Parties that have not already done so consider nominating officials from relevant national enforcement and prosecuting agencies to participate in the Interpol Wildlife Crime Working Group; i) Parties with existing detector-dog programmes share knowledge and experience with those Parties that may be interested in developing and implementing such programmes; j) Parties provide to the Secretariat detailed information on significant cases of illegal trade; and k) Parties inform the Secretariat, when possible, about convicted illegal traders and persistent offenders; and DIRECTS the Secretariat to communicate such information quickly to the Parties. 245

249 Chapter 16 Compliance and Enforcement Measures E-commerce of specimens of CITES-listed species Decision14.35 provided that the Secretariat should: a) request, through a Notification issued after the 14th meeting of the Conference of the Parties, information from Management Authorities regarding: i) the scale and nature of wildlife trade arranged via the Internet that apparently involves their country; ii) perceived problems relating to such trade, including illicit trade; iii) the effectiveness of any measures that Parties have taken to address the trade in wildlife via the Internet, including the use of codes of conduct; and iv) any changes in trade routes and methods of shipment that have been observed as a result of increased use of the Internet to promote trade in wildlife; b) using the services of a suitably-qualified consultant, review the information submitted by Parties and prepare a background document for consideration at a workshop; c) seek external funding to convene a workshop on wildlife trade via the Internet, to which the following should be invited to participate: CITES Management Authority and enforcement officials from Parties with emerging or existing wildlife trade arranged via the Internet; experts on Internet trade; owners of relevant websites and Internet service providers; ICPO-Interpol and the World Customs Organization; and representatives of other intergovernmental and non-governmental organizations; d) publish the outcomes of the workshop, including any recommendations, on the CITES website, seeking additional comments; and e) report on this matter at the 58th meeting of the Standing Committee. Decision charged the Standing Committee with reviewing the Secretariat s report at its 58th meeting and determine whether additional measures are necessary including, if appropriate, directing the Secretariat to prepare a discussion document and draft resolution for consideration at the 15th meeting of the Conference of the Parties. This procedure led to the following new section in Resolution Conf (Rev. CoP15): RECOMMENDS that Parties: a) evaluate or develop their domestic measures to ensure that they are sufficient to address the challenges of controlling legal wildlife trade, investigating illegal wildlife trade and punishing the perpetrators, giving high priority to the offer for sale of specimens of species listed in Appendix I; 246

250 Chapter 16 Compliance and Enforcement Measures b) establish, at the national level, a unit dedicated to investigating wildlife crime linked to the Internet or incorporate wildlife trade issues into existing units that investigate or monitor computer or cyber-crime; and c) establish at the national level a mechanism to coordinate the monitoring of Internetrelated wildlife trade and to provide for the timely sharing between designated contact points in CITES Management and Enforcement Authorities of information that results from these activities; RECOMMENDS further that Parties and Interpol: a) submit information to the Secretariat on methodologies used by other agencies that may assist in the evaluation of mechanisms to regulate legal commerce of CITES-listed species via the Internet; b) ensure that sufficient resources are directed to the investigation and targeting of illegal Internet-related trade in specimens of CITES-listed species; c) use the data acquired during monitoring activities to establish strategies regarding enforcement, capacity building and public awareness; and d) consider ways in which funding may be provided for the establishment of a full-time position, dedicated to e-commerce aspects of wildlife crime, within the General Secretariat of Interpol. The responsibilities of such a position should include ensuring that all information or intelligence regarding e-commerce is consistently collected and disseminated to the relevant Enforcement Authorities designated by Parties; and Decision urges Parties to: a) submit information to the CITES Secretariat on best practices and on websites adhering to codes of conduct for posting on the CITES website; b) publish results of scientific research on correlations between use of the Internet and the rate of wildlife crime, and share these results with the CITES Secretariat; c) assess the extent of and trends in commerce of CITES-listed species via the Internet and submit such information to the Secretariat for analysis; and d) submit information to the CITES Secretariat for analysis on any changes in trade routes and methods of shipment that have been observed as a result of increased use of the Internet to promote trade in wildlife. Decision instructs the Secretariat to: a) develop an Internet portal on the CITES website to compile, publish and disseminate information submitted by Parties and stakeholders related to e-commerce of CITESlisted species; and b) write to Interpol encouraging it to establish a secure interactive website or electron- 247

251 Chapter 16 Compliance and Enforcement Measures ic forum containing information and intelligence regarding Internet-related wildlife crime, capable of being updated in a real-time manner by authorized contributors. Additional actions to promote enforcement With Resolution Conf (Rev. CoP15) the Conference of the Parties RECOMMENDS further that the Parties: a) take the necessary measures to develop a comprehensive strategy for border controls, audits and investigations, by: i) taking into account the different procedures for Customs clearance of goods and Customs procedures such as transit, temporary admission, warehouse storage, etc.; ii) ensuring that officers in charge of control are aware of and trained in CITES matters regarding, for example, CITES requirements, identification of specimens and the handling of live animals; iii) implementing document control in order to ensure the authenticity and validity of CITES permits and certificates, especially, if necessary, by requesting the Secretariat to confirm their validity; 248 iv) conducting physical examinations of goods, based on a policy of risk assessment and targeting; v) using wildlife detector dogs; vi) increasing the quality of controls at the time of export and re-export; and vii) providing the necessary resources in order to achieve these objectives; b) promote incentives to secure the support and cooperation of local and rural communities in managing wildlife resources and thereby combating illegal trade; c) where appropriate, evaluate and utilize for enforcement purposes, information from non-governmental sources while maintaining standards of confidentiality; d) consider the formation, at national level, of specialized wildlife-law enforcement units or teams; e) explore innovative means of increasing and improving national enforcement capacity; f) carry out focused national and regional capacity-building activities with particular focus on fostering inter-agency cooperation and improving knowledge of legislation; species identification; risk analysis and investigation of criminal actions; and g) whenever appropriate and possible, liaise closely with CITES Management Authorities and law enforcement agencies in consumer, source and transit countries to help detect, deter and prevent illicit trade in wildlife through the exchange of intelligence, technical advice and support;

252 Chapter 16 Compliance and Enforcement Measures URGES the Parties, intergovernmental and non-governmental organizations to provide, as a matter of urgency, funds and expertise to enable enforcement-related training or the provision of training materials, focusing on developing countries and countries with economies in transition, preferably on a regional or subregional basis, and provide funds to ensure that wildlife-law enforcement personnel in such countries are adequately trained and equipped; ENCOURAGES Parties to give priority to the enforcement of CITES and prosecution of violations of the Convention; ENCOURAGES States to offer rewards for information on illegal hunting and trafficking of specimens of Appendix-I species leading to the arrest and conviction of the offenders; URGES ICPO-Interpol to support the attendance of a representative from the Interpol Wildlife Crime Working Group at meetings of the Conference of the Parties to CITES; and INSTRUCTS the Secretariat to: a) cooperate with the World Customs Organization, ICPO-Interpol and competent national authorities to: i) prepare and distribute appropriate training material; and ii) facilitate the exchange of technical information between the authorities in charge of border controls; and b) submit a report on enforcement matters at each Standing Committee meeting and each regular meeting of the Conference of the Parties. Guidelines on compliance with the Convention The Standing Committee, at its 45th meeting (2001), instructed the Secretariat to prepare an analysis of the range of legal, technical and administrative actions that might be taken in response to non-compliance with the Convention, Resolutions and Decisions, taking into account the need to ensure that such actions do not have a negative conservation impact. At its 50th meeting (2004), the Standing Committee established an open-ended intersessional working group on compliance. The Secretariat was instructed to keep the Parties informed about the progress of the working group by posting the results of its work on the CITES website. This process resulted in 2007 in Resolution Conf. 14.3, which contains a Guide to CITES compliance procedures of which the Conference of the Parties took note and recommended that the Guide be referred to, when dealing with compliance matters. The Guide reads as follows: Objective and scope 1. The objective of this Guide is to inform Parties and others of CITES procedures concerning promoting, facilitating and achieving compliance with obligations under the 249

253 Chapter 16 Compliance and Enforcement Measures Convention and, in particular, assisting Parties in meeting their obligations regarding such compliance. Specifically, the Guide describes existing procedures in order to facilitate consistent and effective handling of compliance matters relating to obligations under the Convention, taking into account relevant Resolutions and Decisions, in both specific and general compliance matters. This Guide is non-legally binding. 2. This Guide addresses compliance matters relating to the obligations under the Convention, taking into account relevant Resolutions and Decisions. Particular attention should be paid to the following: 250 a) designating Management Authority(ies) and Scientific Authority(ies) (Article IX); b) permitting trade in CITES-listed specimens only to the extent consistent with the procedures laid down in the Convention (Articles III, IV, V, VI, VII and XV); c) taking appropriate domestic measures to enforce the provisions of the Convention and prohibit trade in violation thereof (Article VIII, paragraph 1); d) maintaining records of trade and submitting periodic reports (Article VIII, paragraphs 7 and 8); and e) responding as soon as possible to communications of the Secretariat related to information that a species included in Appendix I or II is being adversely affected by trade in specimens of that species or that the provisions of the Convention are not being effectively implemented (Article XIII), 3. The procedures described in this Guide are without prejudice to any rights and obligations and to any dispute settlement procedure under the Convention. General principles 4. A supportive and non-adversarial approach is taken towards compliance matters, with the aim of ensuring long-term compliance. 5. Compliance matters are handled as quickly as possible. Such matters are considered and ensuing compliance measures are applied in a fair, consistent and transparent manner. 6. Generally, findings, reports and communications in compliance matters are not treated confidentially. However, communications between the Secretariat and individual Parties on specific compliance matters are generally confidential. 7. Decisions on whether to close or keep open debates in compliance matters are taken according to the Rules of Procedure of the body considering the matter and generally reasons are given. 8. The Secretariat communicates compliance-related decisions to the relevant authorities.

254 Chapter 16 Compliance and Enforcement Measures The various bodies and their compliance-related tasks 9. Compliance matters are handled by the following CITES bodies. Their main compliance-related tasks are listed below. 10. The Conference of the Parties: a) provides general policy guidance on compliance issues; b) directs and oversees the handling of compliance matters particularly through the identification of key obligations and procedures; c) reviews as needed decisions of the Standing Committee related to specific compliance matters; and d) may delegate certain authority to the Standing Committee or other CITES bodies in accordance with the Convention. 11. When the Conference of the Parties decides to carry out itself the tasks delegated to the Standing Committee, it follows the same procedures as those described below for the Standing Committee. 12. The Standing Committee, acting in accordance with instructions from and authority delegated by the Conference of the Parties, handles general and specific compliance matters, including: a) monitoring and assessing overall compliance with obligations under the Convention; b) advising and assisting Parties in complying with obligations under the Convention; c) verifying information; and d) taking compliance measures as described below. 13. The Animals and Plants Committees, acting in accordance with instructions from and authority delegated by the Conference of the Parties, advise and assist the Standing Committee and the Conference of the Parties with regard to compliance matters, inter alia, by undertaking necessary reviews, consultations, assessments and reporting. These Committees are entrusted with specific tasks in the handling of matters related to the Review of Significant Trade. 14. The Secretariat: a) assists and supports the Animals and Plants Committees, the Standing Committee and the Conference of the Parties in carrying out their functions concerning compliance matters as described in this Guide and, where applicable, according to the procedures set out in relevant Resolutions and Decisions; b) receives, assesses and communicates to the Parties information on compliance matters; c) advises and assists Parties in complying with obligations under the Convention; d) makes recommendations for achieving compliance; and 251

255 Chapter 16 Compliance and Enforcement Measures e) monitors the implementation of compliance-related decisions. Handling of specific compliance matters Identification of potential compliance matters 15. Annual and biennial reports, legislative texts as well as other special reports and responses to information requests, for example within the Review of Significant Trade or the National Legislation Project, provide the primary, but not exclusive, means of monitoring compliance with obligations under the Convention. 16. The Secretariat provides a Party concerned with information it receives about that Party s compliance, and communicates with the Party regarding this matter. 17. In response, the Party informs the Secretariat as soon as possible, see the recommendation for a time limit in Resolution Conf (Rev.CoP15), of any relevant facts in so far as its laws permit and, where appropriate, proposes remedial action. Where the Party considers that an inquiry is desirable, such inquiry may be carried out by one or more persons expressly authorized by the Party. See the comment on this provision of Article XIII on page Any Party concerned over matters related to trade in specimens of CITES-listed species by another Party may bring the matter up directly with that Party and/or call upon the Secretariat for assistance. 19. Parties themselves are encouraged to give the Secretariat early warning of any compliance matter, including the inability to provide information by a certain deadline, and indicate the reasons and any need for assistance. 20. Where compliance matters are identified, the Parties concerned are given every opportunity to correct them within reasonable time limits, if necessary with the assistance of the Secretariat. B. Consideration of compliance matters 21. If the Party fails to take sufficient remedial action within a reasonable time limit, the compliance matter is brought to the attention of the Standing Committee by the Secretariat, in direct contact with the Party concerned. 22. If a compliance matter is otherwise brought to the attention of the Standing Committee in accordance with the Rules of Procedure, the Standing Committee: a) refers the matter to the Secretariat for action according to the procedure in paragraphs above; or b) rejects it as trivial or ill-founded; or c) in exceptional circumstances, after consultation with the Party concerned, follows the procedures as described below. 23. When compliance matters are brought to the attention of the Standing Committee, it is generally done in writing and includes details as to which specific obligations are 252

256 Chapter 16 Compliance and Enforcement Measures concerned and an assessment of the reasons why the Party concerned may be unable to meet those obligations. 24. When a compliance matter is brought to the attention of the Standing Committee, the Secretariat immediately informs the Party or Parties concerned. 25. The Standing Committee rejects compliance matters which it considers are trivial or ill-founded. Where the Standing Committee has decided that the submission is not trivial or illfounded, the Party concerned is given the opportunity to provide comments within a reasonable time limit. 26. The Standing Committee decides whether to gather or request further information on a compliance matter whenever such information may be found and whether to seek an invitation from the Party concerned to undertake the gathering and verification of information in the territory of that Party or wherever such information may be found. 27. The Party concerned has the right to participate in discussions with respect to its own compliance, in accordance with the Rules of Procedure of the relevant body. 28. If a Party cannot access the financial resources needed to participate in CITES meetings where its own compliance is being considered, it is able to request assistance from the Secretariat or the Standing Committee in identifying such resources. C. Measures to achieve compliance 29. If a compliance matter has not been resolved, the Standing Committee decides to take one or more of the following measures: a) provide advice, information and appropriate facilitation of assistance and other capacity-building support to the Party concerned; b) request special reporting from the Party concerned; c) issue a written caution, requesting a response and offering assistance; d) recommend specific capacity-building actions to be undertaken by the Party concerned; e) provide in-country assistance, technical assessment and a verification mission, upon the invitation of the Party concerned; f) send a public notification of a compliance matter through the Secretariat to all Parties advising that compliance matters have been brought to the attention of a Party and that, up to that time, there has been no satisfactory response or action; g) issue a warning to the Party concerned that it is in non-compliance, e.g. in relation to national reporting and/or the National Legislation Project; and h) request a compliance action plan to be submitted to the Standing Committee by the Party concerned identifying appropriate steps, a timetable for when those steps should be completed and means to assess satisfactory completion. 253

257 Chapter 16 Compliance and Enforcement Measures 30. In certain cases, the Standing Committee decides to recommend the suspension of commercial or all trade in specimens of one or more CITES-listed species, consistent with the Convention. Such a recommendation may be made in cases where a Party s compliance matter is unresolved and persistent and the Party is showing no intention to achieve compliance or a State not a Party is not issuing the documentation referred to in Article X of the Convention. Such a recommendation is always specifically and explicitly based on the Convention and on any applicable Resolutions and Decisions of the Conference of the Parties. NOTE: These currently include: - Resolution Conf (Rev. CoP14) (National reports); - Resolution Conf. 8.4 (Rev. CoP15) (National laws for implementation of the Convention); - Resolution Conf (Rev. CoP13) (Review of Significant trade in specimens of Appendix-II species); - Convention Article XIII and Resolution Conf (Rev. CoP15) (Compliance and enforcement); and - Resolution Conf (Rev. CoP15) (Establishment of committees). 31. The list of measures above is not necessarily an exhaustive list of measures applied to date. 32. When the Standing Committee decides upon one or more of the measures mentioned above, it takes into account: a) the capacity of the Party concerned, especially developing countries, and in particular the least developed and small island developing States and Parties with economies in transition; b) such factors as the cause, type, degree and frequency of the compliance matters; c) the appropriateness of the measures so that they are commensurate with the gravity of the compliance matter; and d) the possible impact on conservation and sustainable use with a view to avoiding negative results. These considerations are clearly set out in the Standing Committee s recommendations. D. Monitoring and implementation of measures to achieve compliance 33. The Standing Committee, with the assistance of the Secretariat, monitors the actions taken by the Party concerned to implement measures taken. In this regard, the Standing Committee may, inter alia: 254

258 Chapter 16 Compliance and Enforcement Measures a) request the Party concerned to submit progress reports in accordance with a schedule; and b) arrange, upon the invitation of the Party concerned, for an in-country technical assessment and for a verification mission. In the light of progress, the Standing Committee decides whether to adjust the measures it has taken, or to take other measures. 34. Existing recommendations to suspend trade are generally reviewed at each Standing Committee meeting. They are also monitored intersessionally by the Secretariat. A recommendation to suspend trade is withdrawn as soon as the compliance matter has been resolved or sufficient progress has been made. The Secretariat notifies Parties of any such withdrawal as soon as possible. 35. The general guidelines in paragraphs 33 and 34 above are in some cases supplemented by more precise provisions regarding specific categories of compliance matters, e.g. in the case of significant trade in specimens of Appendix-II species, as laid out in the Resolutions and Decisions related thereto. Reporting and reviews 36. The Standing Committee reports to the Conference of the Parties on compliance matters. The Secretariat reports to the Standing Committee and the Conference of the Parties on compliance matters. 37. The Conference of the Parties may review this document periodically and revise it where appropriate. 255

259 Chapter 16 Compliance and Enforcement Measures Implementation legislation Resolution Conf. 3.4 on technical cooperation calls on Parties to ensure the inclusion of the technical assistance, in matters relating to this Convention, in the bilateral and multilateral programs of development aid in which they participate. It urges Parties to make special funding and qualified staff available, possibly by way of associate expert assignments to the Secretariat and to developing countries, to carry out such technical assistance projects for the benefits of the other Parties. It further requests the Secretariat in consultation with the Standing Committee to continue to seek external funding for this purpose, and to execute the projects so funded, on behalf of the Parties. Resolution Conf. 8.4 (Rev. CoP15) on national laws for implementation of the Convention, acknowledges the adoption of Resolution Conf on the CITES Strategic Vision: , particularly Objective 1.1 that Parties comply with their obligations under the Convention through appropriate policies, legislation and procedures. It recognizes that the CITES National Legislation Project was established in 1992 and has provided legislative analyses and assistance to Parties since that time. It recalls Resolution Conf (Rev. CoP15), which expresses the Parties' conviction that enforcement of the Convention must be of constant concern to the Parties if the objectives of the Convention are to be fulfilled. It notes that substantial progress has been achieved, but that approximately half of the Parties have not yet taken the appropriate measures to enforce the provisions of the Convention. The Conference of the Parties directs the Secretariat, within available resources: a) to identify those Parties whose domestic measures do not provide them with the authority to: i) designate at least one Management Authority and one Scientific Authority; ii) prohibit trade in specimens in violation of the Convention; iii) penalize such trade; or 256

260 Chapter 16 Compliance and Enforcement Measures iv) confiscate specimens illegally traded or possessed; b) to seek from each Party so identified information indicating the procedures, action and time-frames that are envisaged in order to adopt, as a matter of the highest priority, the measures necessary for effective implementation of the Convention; and c) to report its findings, recommendations or progress to the Standing Committee and at each meeting of the Conference of the Parties. It urges all Parties that have not adopted appropriate measures for effective implementation of the Convention to do so and inform the Secretariat when such measures have been adopted. It instructs the Standing Committee to determine which Parties have not adopted appropriate measures for effective implementation of the Convention and to consider appropriate compliance measures, which may include recommendations to suspend trade, in accordance with Resolution Conf. 14.3, see page 254; It directs the Secretariat to seek external funding to enable it to provide technical assistance to Parties in the development of their measures to implement the Convention; and invites all Parties, governmental, intergovernmental and non-governmental organizations and other sources to provide financial and/or technical assistance for the development and effective implementation of such measures. Decision provides that Parties should submit to the Secretariat, in one of the working languages of the Convention, appropriate measures which have been adopted for effective implementation of the Convention. Decision provides that any Party which has not adopted appropriate measures for effective implementation of the Convention should submit to the Secretariat a justification for not having done so. Decision instructs the Standing Committee to review at its 61st and 62nd meetings the progress of Parties in adopting appropriate measures for the effective implementation of the Convention. Decision instructs the Secretariat to: a) compile and analyze the information submitted by Parties on measures adopted before the 16th meeting of the Conference of the Parties (CoP16) to fulfil the requirements laid down in the text of the Convention and Resolution Conf. 8.4 (Rev. CoP15); b) provide, to the extent resources are available, legal advice and assistance to Parties on the development of appropriate measures for effective implementation of the Convention, including legislative guidance for and training of CITES authorities, legal drafters, policy makers, the judiciary, parliamentarians and other relevant government officials responsible for the formulation and adoption of CITES-related legislation; 257

261 Chapter 16 Compliance and Enforcement Measures c) cooperate, in the provision of legislative assistance, with the legal programmes of United Nations bodies and intergovernmental organizations such as UNEP, the Food and Agriculture Organization, the World Bank and the Organization of American States; d) report at the 61st and 62nd meetings of the Standing Committee on Parties progress in adopting adequate measures and, if necessary, recommend the adoption of appropriate compliance measures, including suspension of trade; e) identify for the Standing Committee any countries that require attention as a priority under the National Legislation Project; and f) report at CoP16 on the progress made with regard to the implementation of Resolution Conf. 8.4 (Rev. CoP15) and Decisions 15.38, 15.39, and Decision instructs the Secretariat to: a) in cooperation with international financial institutions and potential donors, investigate possible ways to establish the means to secure funding to support the provision of technical assistance to CITES Parties in relation to regulating wildlife trade (including population studies as a basis for management programmes); and b) report its findings and recommendations at the 16th meeting of the Conference of the Parties. Infraction reports At the 10th meeting of the Conference of the Parties it was agreed that the Secretariat should, under Article XIII, submit a separate report on infractions for consideration at each regular meeting of the Conference of the Parties. The 10th meeting further adopted Decision , which provided that a clear distinction shall be made between alleged infractions of the provisions of the Convention and non-compliance with the provisions laid down in Resolutions of the Conference of the Parties. The summaries of these two different categories of cases shall be presented in separate annexes to the reports. This decision was taken because, until the ninth meeting of the Conference of the Parties, the Secretariat considered the non-implementation of Resolutions as infractions and put them on an equal footing with infringements of the Convention. That was obviously incorrect, but the Decision was repealed and never repeated. In the meantime, however, the Secretariat provides reports on trends in noncompliance rather than a list of infractions. Illegal trade database Decision instructed the Secretariat to convene, subject to external funding, a meeting of the CITES Enforcement Expert Group to identify measures to improve the 258

262 Chapter 16 Compliance and Enforcement Measures gathering of data on illicit trade from and by relevant international, regional and national law enforcement organizations, CITES Management Authorities and the CITES Secretariat, and to discuss ways in which such data could be analysed to provide a clearer understanding of illicit trade in specimens of CITES-listed species. The Secretariat shall report to the Standing Committee on the outcome of the meeting and any recommendations made by the Group. Decision instructed the Standing Committee to consider the report of the Secretariat and also consider: a) endorsing any relevant recommendation that could be implemented prior to the 15th meeting of the Conference of the Parties; and b) requesting the Secretariat to prepare a report for consideration at the 15th meeting of the Conference of the Parties. This resulted in Decision 15.42, which instructs the Secretariat to establish an illegal trade database working group to: a) design and implement a database to be used by the Parties and the Secretariat for the gathering and analysis of data related to illegal trade in specimens of CITES-listed species: b) seek external funding to enable the group to conduct its activities, assisted by a relevant consultant if appropriate; and c) report to the Standing Committee at its 61st and 62nd meetings on the progress of the working group. Decision instructs the Standing Committee to consider the reports of the Secretariat and also consider: a) endorsing any relevant recommendation or measure that could be implemented prior to the 16th meeting of the Conference of the Parties (CoP16); or b) requesting the Secretariat to prepare a report for consideration at CoP

263 Chapter 16 Compliance and Enforcement Measures International Consortium on Combating Wildlife Crime (ICCWC) On 23 November 2010, the cooperation between the above organizations in the combat against wildlife crime was given a formal basis through the signing of a letter of understanding (http://cites.org/eng/news/press/2010/iccwc_memo.pdf ). Tip: Be an insider and pronounce ICCWC as eye-quick. 260

264 Chapter 17 - The Disposal of Confiscated Specimens Paragraphs 1(b), 2, 4 and 5 of Article VIII deal with measures the Parties have to take with regard to the confiscation and disposal of illegally traded specimens; an issue on which the Conference of the Parties over the years adopted a series of Resolutions. The issue is now comprehensively covered in Resolutions Conf. 9.9, 9.10 (Rev. CoP15) and Conf (Rev. CoP15). Article VIII.1, paragraph (b) to provide for the confiscation or return to the State of export of such specimens. Return to a State of re-export is not mentioned here or in Article VIII.4.(b), but we will see that Resolutions Conf. 9.9 and Conf (Rev. CoP15) nevertheless contain recommendations in that regard. Article VIII, paragraph 2 In addition to the measures taken under paragraph 1 of this Article, a Party may, when it deems it necessary, provide for any method of internal reimbursement for expenses incurred as a result of the confiscation of a specimen traded in violation of the measures taken in the application of the provisions of the present Convention. Article VIII, paragraph 4 Where a living specimen is confiscated as a result of measures referred to in paragraph 1 of this Article: (a) the specimen shall be entrusted to a Management Authority of the State of confiscation; (b) the Management Authority shall, after consultation with the State of export, return the specimen to that State at the expense of that State, or to a rescue centre or such other place as the Management Authority deems appropriate and consistent with the purposes of the present Convention; and (c) the Management Authority may obtain the advice of a Scientific Authority, or may, whenever it considers it desirable, consult the Secretariat in order to facilitate the de-

265 Chapter 17 The Disposal of Confiscated Specimens cision under subparagraph (b) of this paragraph, including the choice of a rescue centre or other place. 5. A rescue centre as referred to in paragraph 4 of this Article means an institution designated by a Management Authority to look after the welfare of living specimens, particularly those that have been confiscated. Returning illegally traded specimens to the country of export or re-export This issue is covered in a consolidated way in Resolution Conf. 9.9 on the confiscation of specimens exported or re-exported in violation of the Convention. I earlier noted that Article VIII, paragraphs 1(b) and 4(b) only mention return to the State of export and not that of re-export. Resolution Conf. 9.9 recognizes that the return by the importing Party to the State of export or re-export of specimens that have been traded in violation of the Convention may result later in such specimens being entered into illegal trade unless measures are taken by the Parties concerned to prevent this. The Conference of the Parties expresses its awareness that, when specimens are exported or re-exported in violation of the Convention, the only enforcement action taken against the exporter is often the confiscation of such specimens by the importing Party. It recommends that: a) when specimens are exported or re-exported in violation of the Convention, importing Parties: i) consider that the seizure and confiscation of such specimens are generally preferable to the definitive refusal of the import of the specimens; and ii) notify as soon as possible the Management Authority of the State from which the specimens were consigned of the violation and of any enforcement actions taken concerning the specimens; and b) when the import of specimens that have been exported or re-exported in violation of the Convention is refused by the country to which the specimens are consigned, the exporting or re-exporting Party take the measures necessary to ensure that such specimens are not re-entered into illegal trade, including monitoring their return to the country and providing for their confiscation. 262

266 Chapter 17 The Disposal of Confiscated Specimens The disposal of confiscated specimens This is the subject of Resolution Conf (Rev. CoP15) on the disposal of illegally traded, confiscated and accumulated specimens. This Resolution consolidates all seven earlier Resolutions on the issue. It recognizes that Parties have experienced problems with the disposal of specimens of Appendix-I species that have been obtained as a result of confiscation, accidental death or otherwise. It recalls that Article III, paragraph 4 (a), and Article IV, paragraph 5 (a), of the Convention, require that, as a pre-condition for the issuance of a re-export certificate, the Management Authority of the State of re-export be "satisfied that the specimen was imported into that State in accordance with the provisions of the present Convention". It recalls that Article VIII of the Convention requires Parties to take appropriate measures to enforce the provisions of the Convention and to prohibit trade in specimens in violation thereof, including measures to provide for the confiscation or return to the State of export of illegally traded specimens. It recognizes that Article VIII, paragraph 4 (b), of the Convention requires Parties to return any confiscated living specimen to the State of export, after consultation with and at the expense of that State, or to place it in a rescue center or other appropriate place. It notes, however, that Article VIII does not preclude the Management Authority allowing the importer to refuse acceptance of a shipment, thus forcing the transporter to carry the shipment back to the (re-)exporter. It considers that a Party may also provide for the internal reimbursement of expenses that result from the confiscation of a specimen traded in violation of the Convention; It expresses its awareness of the fact that, according to Resolution Conf (Rev. CoP15), the successful recovery of the costs of confiscation and disposal from the guilty party may be a disincentive for illegal trade. It is further aware that some Parties do not allow the sale of confiscated specimens because of the message this transmits to the public and that Parties may decide not to allow the sale of confiscated specimens, in order to exclude illegally traded specimens from entering commercial trade. The Conference of the Parties recommends that: Export or re-export of confiscated specimens a) except in the circumstances specified in paragraphs b) and c) below, Parties not authorize any re-export of specimens for which there is evidence that they were imported in violation of the Convention; 263

267 Chapter 17 The Disposal of Confiscated Specimens b) when applying Article III, paragraph 4 (a), and Article IV, paragraph 5 (a), of the Convention to specimens that were imported not in accordance with the provisions of the Convention and that are being re-exported by a Management Authority for purposes of implementing the provisions of Article VIII or of this Resolution, or for investigatory or judicial purposes, the specimens be deemed to have been imported in accordance with the provisions of the Convention; c) when applying Article IV, paragraphs 2 (b) and 5 (a), of the Convention to specimens of species in Appendix II that have been confiscated as a result of attempts to import or export them illegally and that have subsequently been sold by the Management Authority, having satisfied itself that this would not be detrimental to the survival of the species, the specimens be deemed to have been obtained in accordance with the provisions of the Convention and with the laws of the State for the protection of fauna and flora for the purposes of issuing export permits or re-export certificates; and d) permits and certificates granted in accordance with paragraph b) or c) above clearly indicate that the specimens are confiscated specimens; Disposal of confiscated and accumulated dead specimens whose disposal for these purposes is not practicable; e) Parties dispose of confiscated and accumulated dead specimens of Appendix-I species, including parts and derivatives, only for bona fide scientific, educational, enforcement or identification purposes, and save in storage or destroy specimens f) as a general rule, confiscated dead specimens, including parts and derivatives, of Appendix-II and Appendix-III species be disposed of in the best manner possible to achieve the purposes of the Convention, and steps be taken to ensure that the person responsible for the offence does not receive financial or other gain from the disposal; Costs associated with confiscated specimens g) Parties make legislative provision to require the guilty importer or the carrier, or both, to meet the costs of confiscation, custody, storage, destruction or other disposal, including returning specimens to the country of origin or re-export (as appropriate), where the Scientific Authority of the confiscating State deems it in the interest of the specimens to do so, and the country of origin or last re-export so wishes; and 264

268 Chapter 17 The Disposal of Confiscated Specimens h) where such legislation does not exist and the country of origin or last re-export wishes a confiscated live specimen to be returned, that country shall seek financial assistance to facilitate the return; and Publicity i) Parties publicize information on seizures and confiscations when appropriate as a deterrent to illegal trade, and inform the public about their procedures for dealing with seized and confiscated specimens and about rescue centres. The Conference of the Parties confirms that Parties have the right to allow, or should they choose to do so, not to allow the sale of confiscated dead specimens, including parts and derivatives, of Appendix-II and -III species. How to decide on the disposal of confiscated live animals and plants Resolution Conf dealt with the disposal of confiscated live animals of species included in the Appendices. It was replaced by Resolution Conf (Rev. CoP15), which covers all live specimens, i.e. both animals and plants. Resolution Conf (Rev. CoP15) recalls that according to Article VIII, paragraph 4 (b), of the Convention, confiscated live specimens shall, after consultation with the State of export, be returned to that State at the expense of that State, or to a rescue centre or such other place as the Management Authority deems appropriate and consistent with the purposes of the Convention. It recalls that Article VIII, paragraph 4 (c), of the Convention, leaves open the possibility for the Management Authority to obtain the advice of a Scientific Authority or of the Secretariat. It recalls Resolution Conf (Rev. CoP15) on the Disposal of confiscated and accumulated specimens, which recommends to the Parties not having done so yet, to adopt legislation in order to charge to the guilty importer and/or carrier the costs of returning confiscated live specimens to the country of origin or re-export. It notes that shipments of Appendix-II or -III live specimens often include large quantities of specimens for which no adequate housing can be made available, and that in general there are no detailed data about country of origin and site of capture for these specimens. The housing of large numbers of, in particular, live animals is a major problem in many countries, particularly for more common species. 265

269 Chapter 17 The Disposal of Confiscated Specimens The return to the country of origin is problematic for the many reasons explained in the guidelines in the annexes to the Resolution and of which a lack of information about the site of capture or collection is an important one. It considers that the successful recovery of the costs of confiscation and disposal from the guilty party may be a disincentive for illegal trade. It considers that specimens once in trade no longer form part of the reproducing wild population of the species concerned; The Conference of the Parties expresses concern about the risks of releasing confiscated specimens into the wild, such as the introduction of pathogens and parasites, genetic pollution and negative effects on the local fauna and flora and considers that release to the wild may not always be in the best interest of the conservation of a species, especially one not in danger of extinction. It recalls that IUCN has developed Guidelines for the Disposal of Confiscated Animals and Guidelines for Re-introductions. The Conference of the Parties expresses its conviction that the ultimate objective of the Convention is the continued existence of wild populations in their natural habitat and recommends that: a) a Management Authority before making a decision on the disposal of confiscated live specimens of species in the Appendices consult with and obtain the advice of its own Scientific Authority and, if possible, of that of the State of export of the confiscated specimens, and other relevant experts such as IUCN/SSC Specialist Groups; b) each Scientific Authority in preparing its advice take note of the guidelines in Annexes 1 and 2; c) the Secretariat be informed about any decision taken on the disposal of confiscated live specimens of species that are either in Appendix I or, if in Appendix II or III, involve commercial quantities; d) in the case where live specimens arrive in an importing country without the proper export permits or re-export certificates, and where an importer refuses to accept a shipment of live specimens, the shipment be confiscated and the specimens disposed of in accordance with the guidelines set out in Annex 1 or 2; and e) priority be given to the care of seized or confiscated wild-collected specimens of Appendix-I species and of Appendix-II species that may be at risk; The Resolution urges Management Authorities, in consultation with Scientific Authorities and other bodies concerned, to develop action plans to deal with seized and confiscated live specimens consistent with the guidelines set out in Annex

270 Chapter 17 The Disposal of Confiscated Specimens Annex 1 CITES guidelines for the disposal of confiscated live animals Statement of principle When live animals are confiscated by government authorities, these authorities have a responsibility to dispose of them appropriately. Within the confines of the law, the ultimate decision on disposal of confiscated animals must achieve three goals: 1) to maximize conservation value of the specimens without in any way endangering the health, behavioural repertoire, or conservation status of wild or captive populations of the species; 2) to discourage further illegal or irregular trade in the species; and 3) to provide a humane solution, whether this involves maintaining the animals in captivity, returning them to the wild, or employing euthanasia to destroy them. Statement of need Increased regulation of trade in wild plants and animals and enforcement of these regulations has resulted in an increase in the number of wildlife shipments intercepted by government authorities as a result of non-compliance with these regulations. In some instances, the interception is a result of patently illegal trade; in others, it is in response to other irregularities, such as insufficient or incomplete paperwork from the exporting country or poor packing that has compromised the welfare of the live animals in the shipment. While in some cases the number of animals in a confiscated shipment is small, in many others the number is in the hundreds. Although, in many countries, confiscated animals have usually been donated to zoos or aquaria, this option is proving less viable with large numbers of animals and, increasingly, common species. The international zoo community has recognized that placing animals of low conservation priority in limited cage space may benefit those individuals but may also detract from conservation efforts as a whole. They are, therefore, setting conservation priorities for cage space. In light of these trends, there is an increasing demand and urgent need for information and advice to guide confiscating authorities in the disposal of live animals. Although specific guidelines have been formulated for certain groups of organisms, such as parrots and primates, no general guidelines exist. When disposing of confiscated animals, authorities must adhere to national, regional and international law. The Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) requires that confiscated individuals of species listed in the treaty's Appendices be returned to the State of export... or to a rescue centre or such other place as the Management Authority deems appropriate and consistent with the purpose of the Convention (Article VIII). However, the treaty does not elaborate on this requirement, and CITES Management Authorities must act according to their own interpretation, not only with respect to repatriation but also as regards what constitutes disposal that is appropriate and consistent with the treaty. Although the present guidelines are intended to assist CITES Management Authorities in making this assessment, they are designed to be of general applicability to all confiscated live animals. 267

271 Chapter 17 The Disposal of Confiscated Specimens The lack of specific guidelines has resulted in confiscated animals being disposed of in a variety of ways, many inconsistent with conservation objectives. In some cases, release of confiscated animals into existing wild populations has been done after careful evaluation and with due regard for existing guidelines. In other cases, such releases have not been well planned. Poorly planned releases of confiscated animals may doom these animals to a slow, painful death. Such releases may also have strong negative conservation value by threatening existing wild populations. Threats to existing populations can take several forms: 1) diseases and parasites acquired by released animals while held in captivity may spread into existing wild populations; 2) individuals released into existing populations, or in areas near to existing populations, may not be of the same race or subspecies as those in the wild population, resulting in mixing of distinct genetic lineages; 3) animals held in captivity, particularly juveniles and immatures, may acquire an inappropriate behavioural repertoire from individuals of other related species. Release of these animals could result in inter-specific hybridization. Disposal of confiscated animals is not a simple process. Only on rare occasions will such disposal be straightforward or result in an action with conservation value. Options for disposal of confiscated animals have thus far been influenced by the perception that returning animals to the wild is the optimal solution in terms of both animal welfare and conservation. A growing body of scientific study of reintroduction of captive animals suggests that such actions may be among the least appropriate options for many reasons. This recognition requires that the options available to confiscating authorities for disposal of the animals be carefully reviewed. Management options In deciding on the disposal of confiscated animals, managers must ensure both the humane treatment of the animals and the conservation and welfare of existing wild populations of the species involved. Options for disposal fall into three principal categories: 1) maintenance of the individuals in captivity; 2) returning the individuals in question to some form of life in the wild; and 3) euthanasia. The last option may often prove the most appropriate and most humane. Within a conservation perspective, by far the most important consideration in reviewing the options for disposal is the conservation status of the species concerned. For confiscated animals of endangered or threatened species, particular effort should be directed towards evaluating whether and how these animals might contribute to a conservation programme for the species. The decision as to which option to employ in the disposal of confiscated animals will depend on various legal, social, economic and biological factors. The Decision Tree provided in the present guidelines is intended to facilitate consideration of these options. The tree has been written so that it may be used for both threatened and common species, although it is recognized that the conservation status of the species will be the primary consideration affecting whether or not confiscated animals might be valuable to an active conservation breeding/reintroduction programme, and whether or not local or international agencies will be willing to make an investment in expensive and difficult tasks such as genetic determination of country of origin and site of capture or the establishment of reintroduction, benign introductions, or reinforce- 268

272 Chapter 17 The Disposal of Confiscated Specimens ment of extant wild populations. International networks of experts, such as the IUCN- Species Survival Commission Specialist Groups, should be able to assist confiscating authorities, and CITES Scientific and Management Authorities, in their deliberations as to the appropriate disposal of confiscated specimens. OPTION 1 CAPTIVITY Confiscated animals are already in captivity; there are numerous options for maintaining them in captivity. Depending on the circumstances, animals can be donated, loaned or sold. Placement may be in zoos or other facilities, or with private individuals. Finally, placement may be in the country of origin, the country of export (if different), the country of confiscation, or a country with adequate and/or specialized facilities for the species in question. If animals are maintained in captivity, in preference to either being returned to the wild or destroyed, they must be afforded humane conditions and ensured proper care for their natural lives. It should be noted that under CITES provisions the country of origin and the country of export can only be the same. Zoological gardens, aquaria and safari parks are the captive facilities most commonly considered for disposal of animals, but a variety of other captive situations exist. These include the following: a) Rescue centres, established specifically to treat injured or confiscated animals, are sponsored by a number of humane organizations in many countries. b) Lifetime-care facilities devoted to the care of confiscated animals have been built in a few countries. c) Specialist societies or clubs devoted to the study and care of single taxa or species (e.g. reptiles, amphibians, birds) have, in some instances, provided an avenue for the disposal of confiscated animals without involving sale through intermediaries. d) Humane societies may be willing to ensure placement of confiscated specimens with private individuals who can provide humane lifetime care. e) Universities and research laboratories maintain collections of exotic animals for many kinds of research (e.g. behavioural, ecological, physiological, psychological, and medical). Attitudes towards vivisection, or even towards the non-invasive use of animals in research laboratories as captive study populations, vary widely from country to country. Whether transfer of confiscated animals to research institutions is appropriate will therefore engender some debate, although transfer to an establishment that conducts research under humane conditions may offer an alternative, and one which may eventually contribute information relevant to the species' conservation. In many cases, the lack of known provenance, and the potential that the animal in question has been exposed to unknown pathogens will make transfer to a research institution an option unlikely to be exercised or desired. f) Sale of confiscated specimens to traders, commercial captive breeders, or others involved in commercial activities can provide a means of disposal that helps offset the costs of confiscation. However, sale should only be considered in certain circumstances, such as where the animals in question are not threatened and not subject to a legal pro- 269

273 Chapter 17 The Disposal of Confiscated Specimens hibition on trade (e.g. CITES Appendix II) and there is no risk of stimulating further illegal or irregular trade. The reference to a prohibition on trade with Appendix II as an example is of course a mistake. Sale to commercial captive breeders may contribute to reducing the demand for wildcaught individuals. At the same time, however, it may prove to be a poor option owing to the risk of creating a public perception of the State's perpetuating or benefiting from illegal or irregular trade. Finally, confiscating authorities should be aware that, unless specific legal provisions apply, it is impossible to assure the welfare of the animals following placement. Where animals are transferred by the confiscating authority but not sold, ownership should be specified as one of the terms and conditions of the transfer. Where the country of origin desires return of the animals, this desire should be respected. The custodian (zoo, welfare organization) of confiscated animals should only move the animals to another facility for legitimate humane and propagation purposes with the authorization of the administrative authority. Captivity Benefits and disadvantages 270 The benefits of placing confiscated animals in a facility that will provide lifetime care under humane conditions include: a) educational value; b) potential for captive breeding for eventual reintroduction; and c) possibility for the confiscating authority to recover, from sale, the costs of confiscation. The disadvantages of placing animals in a facility not involved in an established programme for captive breeding and reintroduction include the following: a) Potential to encourage undesired trade. Some authors have maintained that any transfer whether commercial or non-commercial of confiscated animals risks promoting a market for these species and creating a perception of the State's being involved in illegal or irregular trade. BirdLife International suggests that in certain circumstances sale of confiscated animals does not necessarily promote undesired trade. They offer the following requirements that must be met in order for sale by the confiscating authority to be permitted: 1) the species to be sold is already available in the confiscating country in commercial quantities; and 2) wildlife traders under indictment for, or convicted of, crimes related to import of wildlife are prevented from purchasing the animals in question. Experience in selling confiscated animals in the

274 Chapter 17 The Disposal of Confiscated Specimens United States suggests that it is virtually impossible to ensure that commercial dealers implicated or suspected of being implicated in illegal or irregular trade are not involved, directly or indirectly, in purchasing confiscated animals. This suggests that confiscation results in increased costs but is not necessarily a disincentive as regards the practices or problems that gave rise to confiscation. Placing threatened species into commercial trade should not be considered because of the risks of stimulating unwanted trade. Appendix-I species may be sold to a registered commercial breeding facility for Appendix-I species, but these specimens should not be resold or enter commercial trade. As captive-bred offspring of Appendix-I species are deemed to be specimens of species included in Appendix II, there is the potential for commercial breeders to breed animals in captivity to replace wild-caught animals as a source for trade. Hence sale, in certain circumstances (e.g. to commercial captive breeders), may have a clearer potential for the conservation of the species than noncommercial disposal or euthanasia. Such breeding programmes must be carefully assessed and approached with caution. It may be difficult to monitor these programmes and such programmes may unintentionally, or intentionally, stimulate trade in wild animals. It is essential that confiscating authorities recognize that there are many threatened species that are not included in the CITES Appendices but may require the same treatment as CITES Appendix-I species. b) Cost of placement. While any payment will place a value on an animal, there is no evidence that trade would be encouraged if the institution receiving a donation of confiscated animals were to reimburse the confiscating authority for costs of care and transport. However, payments should be kept to a minimum and, where possible, the facility receiving the animals should bear all costs directly. c) Disease. Confiscated animals may serve as vectors for disease and, therefore, must be subject to extremely stringent quarantine. The potential consequences of the introduction of alien disease to a captive facility are as serious as those of introducing disease to wild populations. d) Captive animals can escape from captivity and become pests. Accidental introduction of exotic species can cause tremendous damage and in certain cases, such as the escape of mink Mustela vison from fur farms in the United Kingdom, the introduction of exotics can result from importation of animals for captive breeding. 271

275 Chapter 17 The Disposal of Confiscated Specimens OPTION 2 RETURN TO THE WILD Although CITES requires that repatriation of confiscated CITES-listed animals to the country of export be considered as an option for disposal by a confiscating authority, the treaty in no way requires that animals be returned to the wild in that country. These guidelines suggest that return to the wild would be a desirable option in a very small number of instances and under very specific circumstances. Repatriation to avoid addressing the question of disposal of confiscated animals is irresponsible. When considering repatriation, the confiscating authority must ensure that the recipients of the animals are fully cognizant of the ramifications of repatriation and the options for disposal, as set forth in these guidelines. Furthermore, the country returning an animal to its country of origin for release must ensure that the Management Authority in the country of origin is aware of the return. The rationale behind many of the decision options in this section is discussed in greater detail in the IUCN Guidelines for Reintroduction. It is important to note that these Guidelines make a clear distinction between the different options for returning animals to the wild. These are elaborated on the next page. a) Reintroduction: an attempt to establish a population in an area that was once part of the range of the species but where it has become extinct. Some of the best known reintroductions have been of species that were extinct in the wild. Examples include: Père David's deer Elaphurus davidianus and the Arabian oryx Oryx leucoryx. Other reintroduction programmes have involved species that existed in some parts of their historical range but that had been eliminated from other areas; the aim of these programmes is to re-establish a population in an area, or region, from which the species has disappeared. An example of this type of reintroduction is the recent reintroduction of the swift fox Vulpes velox in Canada. b) Reinforcement of an existing population: the addition of individuals to an existing population of the same taxon. Reinforcement can be a powerful conservation tool when natural populations are diminished by a process which, at least in theory, can be reversed. An example of a successful reinforcement project is that involving the golden lion tamarin Leontopithecus rosalia in Brazil. Habitat loss, coupled with capture of live animals for pets, resulted in a rapid decline of the golden lion tamarin. When reserves were expanded, and capture for the pet trade curbed, captive golden lion tamarins were then used to supplement depleted wild populations. 272

276 Chapter 17 The Disposal of Confiscated Specimens Reinforcement has been most commonly pursued when individual animals injured by human activity have been provided with veterinary care and released. Such activities are common in many western countries, and specific programmes exist for species as diverse as hedgehogs, Erinaceinae, and birds of prey. However common an activity, reinforcement carries with it the very grave risk that individuals held in captivity, even temporarily, are potential vectors for disease back into a wild population. Because of inherent disease risks, reinforcement should only be employed in instances where there is a direct and measurable conservation benefit (demographically or genetically), as when reinforcement is critical for the viability of the wild population into which an individual is being placed. Return to the wild Concerns and benefits Before Return to the wild of confiscated animals is considered, several issues of concern must be considered in general terms: welfare, conservation value, cost and disease. a) Welfare. While return to the wild may appear to be humane, it may be nothing more than a sentence to a slow death. Humane considerations require that each effort to return confiscated animals to nature be thoroughly researched and carefully planned. Such returns also require long-term commitment in terms of monitoring the fate of released individuals. Some authors have advocated that the survival prospects for released animals must at least approximate those for wild animals of the same sex and age class in order for return to the wild to be seriously considered. While such demographic data on wild populations are, unfortunately, rarely available, the spirit of this suggestion should be respected; there must be humane treatment of confiscated animals when attempting to return them to the wild. b) Conservation value and cost. In cases where returning confiscated animals to the wild appears to be the most humane option, such action can only be undertaken if it does not threaten existing populations of wild plants and animals or the ecological integrity of the area in which they live. The conservation of the species as a whole, and of other animals already living free, must take precedence over the welfare of individual animals that are already in captivity. Before animals are used in programmes in which existing populations are reinforced, or new populations are established, it must be determined that returning these individuals to the wild will make a significant contribution to the conservation of the species. Larger populations are less likely to become extinct; hence reinforcing existing very small wild populations may reduce the probability of extinction. In very small populations a lack of males or females may result in reduced population growth or in population decline. Reinforcing a very small population lacking animals of a particular sex may also improve prospects for survival of that population. It should be noted that where confiscated individuals are used for reintroduction (as defined above) they will form the nucleus of a new population. If such a programme is to be successful, a relatively large number of individuals will be required. Hence, small groups of confiscated animals may be inappropriate for reintroduction programmes. The cost of returning animals to the wild in an appropriate manner can be prohibitive for all but the most endangered species. The species for which the conservation benefits clearly outweigh these costs represent a tiny proportion of the species listed in the CITES 273

277 Chapter 17 The Disposal of Confiscated Specimens Appendices, although it includes numerous species not regulated under CITES. In the majority of cases, the costs of appropriate, responsible reintroduction will preclude return to the wild. Poorly planned or executed reintroduction programmes are the equivalent of dumping animals in the wild and should be vigorously opposed on both conservation and humane grounds. c) Source of individuals. If the country of origin and site of capture of the animals is not known, or if there is any question of the source of the animals, supplementation may lead to inadvertent pollution of distinct genetic races or subspecies. If particular local races or subspecies show specific adaptation to the local environment, mixing in animals from other races or subspecies may be damaging to the local population. Introducing an animal into the wrong habitat type may also doom it to death. d) Disease. Animals held in captivity and/or transported, even for a very short time, may be exposed to a variety of pathogens. Release of these animals into the wild may result in introduction of disease to conspecifics or unrelated species with potentially catastrophic effects. Even if there is a very small risk that confiscated animals have been infected by exotic pathogens, the potential effects of introduced diseases on wild populations are so great that this will often preclude returning confiscated animals to the wild. Where confiscated animals are found to be unsuitable for return to the wild, disease screening and appropriate quarantine are, nevertheless, essential in order to ensure that they are free of disease, or that diseases and parasites harboured by these animals are found in the captive population to which the animals may be transferred. Introduced diseases can be dangerous to captive facilities, particularly in zoos where infection across different species in a collection is a serious threat. Where such quarantine cannot ensure that an individual is healthy, isolation for an indefinite period or euthanasia must be carried out. There are clearly instances where return to the wild of confiscated animals must be considered an option for disposal. First and foremost, the question to be addressed is: will returning the animals to the wild make a significant contribution to the conservation of the species in question? Release into the wild of any animal that has been held in captivity is risky. While some diseases can be tested for, tests do not exist for many animal diseases. Furthermore, animals held in captivity are frequently exposed to diseases not usually encountered in their natural habitat. Veterinarians and quarantine officers, thinking that the species in question is only susceptible to certain diseases, may not test for these diseases picked up in captivity. Given that any release incurs some risk, we must adopt the following precautionary principle : if there is no conservation value in releasing confiscated specimens, the possibility of accidentally introducing into the environment a disease that is not already present, however unlikely, will rule out returning confiscated specimens to the wild. There are several benefits of returning animals to the wild, either through reintroduction or reinforcement of an existing population. a) In situations where the existing population is severely threatened, such an action might improve the long-term conservation potential of the species as a whole, or of a local population of the species (e.g. golden lion tamarins). b) Returning animals to the wild makes a strong political/educational statement concerning the fate of the animals (e.g. orangutans Pongo pygmaeus and chimpanzees Pan 274

278 Chapter 17 The Disposal of Confiscated Specimens troglodytes) and may serve to promote local conservation values. However, as part of any education or public awareness programme, the costs and difficulties associated with return to the wild must be emphasized. OPTION 3 EUTHANASIA Euthanasia the killing of animals carried out according to humane guidelines is unlikely to be a popular option amongst confiscating authorities for disposal of confiscated animals. However, it cannot be overstressed that euthanasia may frequently be the simplest and most humane option available. In many cases, authorities confiscating live animals will encounter the following situations. a) return to the wild in some manner is either unnecessary (e.g. in the case of a very common species), impossible, or prohibitively expensive as a result of the need to conform to biological and animal welfare guidelines. b) Placement in a captive facility is impossible, or there are serious concerns that sale will be problematic or controversial. c) During transport, or while held in captivity, the animals have contracted a chronic disease that is incurable and, therefore, a risk to any captive or wild population. Euthanasia has several clear advantages. a) From the point of view of conservation of the species involved, and of protection of existing captive and wild populations of animals, euthanasia carries far fewer risks when compared to returning animals to the wild. b) Euthanasia will also act to discourage the activities that gave rise to confiscation, be it smuggling or other patently illegal trade, inadequate paperwork, poor packing, or other problems, as the animals in question are removed entirely from trade. c) Euthanasia may be in the best interest of the welfare of the confiscated animals. Unless adequate finances are available for reinforcement of existing populations or reintroduction, release to the wild will carry enormous risks for existing wild populations and severely jeopardize the survival prospects of the individual animals, which may, as a result, die of starvation, disease or predation. d) When animals are destroyed, or when they die a natural death while in captivity, the dead specimens should be placed in the collection of a natural history museum, or another reference collection in a university or research institute. Such reference collections are of great importance for studies of biodiversity. If such placement is impossible, carcasses should be incinerated to avoid illegal trade in animal parts or derivatives. 275

279 Chapter 17 The Disposal of Confiscated Specimens DECISION TREE ANALYSIS For decision trees dealing with Return to the wild and Captive options, the confiscating Party must first ask the question: Question 1: Will returning the animal to the wild make a significant contribution to the conservation of the species, including through education and other means? The most important consideration in deciding on disposal of confiscated specimens is the conservation of the species in question. Because there can never be absolute certainty that a confiscated animal is free of diseases and parasites, returning to the wild an individual that has been held in captivity will always involve some level of risk to existing populations of the same or other species in the ecosystem to which the animal is returned. Where releasing confiscated animals to the wild appears to be the most humane action, it must improve the prospects for survival of the existing wild population. Humanitarian and conservation interests are best served by ensuring the survival of as many individuals as possible, not just the short-term comfort of a few individuals. The benefits of the return in terms of conservation value must clearly outweigh the potential risks. In most instances, the benefits of return to the wild will be outweighed by the costs and risks of such an action. If returning animals to the wild is not of conservation value, Captive options pose fewer risks and may offer more humane alternatives. Answer: Yes: Investigate Return to the wild options. No: Investigate Captive options. DECISION TREE ANALYSIS CAPTIVITY The decision to maintain confiscated animals in captivity involves a simpler set of considerations than does the decision to return them to the wild. It should be noted that the order in which options are placed in the present decision tree is not necessarily the most appropriate for all authorities in all countries: it is expected that each confiscating authority will determine which option is most appropriate based on the particular case and its particular situation. Question 2: Have animals been found to be disease-free by comprehensive veterinary screening and quarantine? Because of the risk of introducing disease to captive populations, animals that may be transferred to certified captive facilities must have a clean bill of health. If confiscated animals are not found to be healthy they must be placed in quarantine before being transferred or the facility to which they are transferred must have adequate quarantine facilities. If, during quarantine, the animals are found to harbour diseases that cannot be cured, they must be destroyed to prevent infection of other animals. Answer: Yes: Proceed to Question 3. No: Quarantine; re-assess question 2 after quarantine. 276

280 Chapter 17 The Disposal of Confiscated Specimens If chronic and incurable infection, first offer animals to research institutions. If impossible to place in such institutions, destroy. Question 3: Is space available in non-commercial captive facility (e.g. lifetime-care facility, zoo or rescue centre)? Transfer of animals to either zoological gardens or lifetime-care facilities should generally provide a safe and acceptable means of disposal of confiscated animals. When a choice must be made between several such institutions, the paramount consideration should be which facility can provide the most consistent care and ensure the welfare of the animals. The terms and conditions of the transfer should be agreed between the confiscating authority and the recipient institution. Terms and conditions for such agreements should include: a) a clear commitment to ensure lifetime care or, in the event that this becomes impossible, transfer to another facility that can ensure lifetime care, or euthanasia; b) exclusion from resale of the animals involved; and c) clear specification of ownership of the specimens concerned and, where breeding may occur, the offspring. Depending on the circumstances, ownership may be vested with the confiscating authority, the country of origin, or the recipient facility. In the majority of instances, there will be no facilities or zoo or aquarium space available in the country in which animals are confiscated. Where this is the case: 1) other captive options should be investigated; 2) transfer to a captive facility outside the country of confiscation should be explored; or 3) the animals should be destroyed. Answer: Yes: Execute agreement and transfer. No: Proceed to Question 4. Question 4: Are private individuals able and willing to provide humane lifetime care on a non-commercial basis? In many countries, there are active specialist societies or clubs of individuals with considerable expertise in the husbandry and breeding of individual species or groups of species. Such societies can assist in finding homes for confiscated animals without involving sale through intermediaries. In this case, individuals receiving confiscated animals must have demonstrated expertise in the husbandry of the species concerned and must be provided with adequate information and advice by the club or society concerned. Transfer to specialist societies or individual members must be made according to terms and conditions agreed with the confiscating authority. Such agreements may be the same or similar to those executed with lifetime-care facilities or zoos. Answer: Yes: Execute agreement and transfer. No: Proceed to Question

281 Chapter 17 The Disposal of Confiscated Specimens Question 5: Are institutions interested in animals for research conducted under humane conditions? Many universities and research laboratories maintain collections of exotic animals for research conducted under humane conditions. If these animals are kept in conditions that ensure their welfare, transfer to such institutions may provide an acceptable alternative to other options, such as sale or euthanasia. As in the preceding instances, such transfer should be subject to terms and conditions agreed with the confiscating authority; in addition to those already suggested, it may be advisable to include terms that stipulate the types of research the authority considers permissible. Answer: Yes: Execute agreement and transfer. No: Proceed to Question 6. Question 6: Is the species listed in Appendix I or regarded as endangered or critical? Commercial sale of specimens of Appendix-I species should not be permitted as it is undesirable to stimulate trade in these species. Species not listed in any CITES Appendix, but which are nonetheless seriously threatened with extinction, should be afforded the same caution. Answer: Yes: Proceed to Question 7. No: Proceed to Question 8. Question 7: Is there a commercial facility breeding this Appendix-I species and is that facility interested in the specimens? As discussed above, captive-bred offspring of Appendix-I species offer the potential for commercial breeders to breed animals in captivity to replace wild-caught animals as a source for trade. These breeding programmes must be carefully assessed and approached with caution. It may be difficult to monitor such programmes and they may unintentionally, or intentionally, stimulate trade in wild animals. The conservation potential of this transfer, or breeding loan, must be carefully weighed against even the smallest risk in stimulating trade which would further endanger the wild population of the species. Answer: Yes: Execute agreement and transfer. No: Destroy, and dispose of carcass as described above. Question 8: Are there grounds for concern that sale will stimulate further illegal or irregular trade? Sale of confiscated animals, where legally permitted, is a difficult option to consider. While the benefits of sale income and quick disposal are clear, there are many problems that may arise as a result of further commercial transactions in the specimens involved. Equally, it should be noted that there may be circumstances where such problems arise as a result of a non-commercial transaction and that, conversely, sale to 278

282 Chapter 17 The Disposal of Confiscated Specimens commercial captive breeders may contribute to production offsetting capture from the wild. More often than not, sale should be considered only for species that are neither threatened with extinction nor legally protected from commercial trade (i.e. CITES Appendix-II species). There may be rare cases where a commercial captive-breeding operation may receive individuals for breeding, which may reduce pressure on wild populations subject to trade. In all circumstances, the confiscating authority should be satisfied that: 1) those involved in the illegal or irregular transaction that gave rise to confiscation cannot obtain the animals; 2) the sale does not compromise the objective of confiscation; and, finally, 3) the sale will not increase illegal, irregular or otherwise undesired trade in the species. Previous experience with sale in some countries (e.g. the United States) has indicated that selling confiscated animals is rife with both logistical and political problems and that, in addition to being controversial, it may also be counter-productive. Answer: Yes: Destroy, and dispose of carcass as described above. No: Sell to qualified buyers. DECISION TREE ANALYSIS RETURN TO THE WILD Question 2: Have animals been found to be disease-free by comprehensive veterinary screening and quarantine? Because of the risk of introducing disease to wild populations, animals that may be released must have a clean bill of health. If such animals are not found to be healthy they must be placed in quarantine before being considered for return to the wild. If, during quarantine, the animals are found to harbour diseases that cannot be cured, they must be destroyed to prevent infection of other animals. Answer: Yes: Proceed to Question 3. No: Quarantine; re-assess question 2 after quarantine. If chronic and incurable infection, first offer animals to research institutions. If impossible to place in such institutions, destroy. Question 3: Can country of origin and site of capture be determined? The geographical location from which confiscated individuals have been removed from the wild must be determined if they are to be reintroduced or used to supplement existing populations. In most cases, animals should only be returned to populations that are of a similar genetic constitution to those from which they were taken. If the country of origin and site of capture of the animals are not known, release for reinforcement may lead to inadvertent hybridization of distinct genetic races or subspecies resulting in outbreeding depression. Related species of animals that may live in sympatry in the wild and never hybridize have been known to hybridize when held in captivity or shipped in multi-species groups. This type of misimprinting can result in behavioural problems compromising the success of any future release and can also pose a threat to 279

283 Chapter 17 The Disposal of Confiscated Specimens wild populations by artificially destroying reproductive isolation that is behaviourally controlled. Answer: Yes: Proceed to Question 4. No: Pursue Captive options. Question 4: Can animals be expeditiously replaced to origin and do benefits of such action outweigh the risks? Answer: Yes: Repatriate and reinforce at origin (specific location) following IUCN Guidelines. No: Proceed to Question 5. Question 5: Does a generally recognized captive-breeding or reintroduction programme exist for the species in question? If the species in question is part of a coordinated captive-breeding and/or reintroduction programme, the animals should be offered to this programme. Answer: Yes: Proceed to Question 6. No: Proceed to Question 7. Question 6: Are the animals from an appropriate population for an existing breeding/ reintroduction programme? In the case of species for which active captive-breeding and/or reintroduction programmes exist, and for which further breeding stock/founders are required, confiscated animals should be transferred to such programmes after consultation with the appropriate scientific authorities. If the species in question is part of a captive-breeding programme, but the animals are of a subspecies or race that is not part of this programme, other methods of disposal must be considered. Particular attention should be paid to genetic screening to avoid jeopardizing captive-breeding programmes through inadvertent hybridization. Answer: Yes: Transfer to existing programme. No: Proceed to Question 7. Question 7: Is there a commitment to establish a new reintroduction programme following IUCN guidelines? In cases where the animals cannot be transferred to existing programmes, their return to the wild, following appropriate guidelines, will only be possible under the following circumstances: 1) appropriate habitat exists for such an operation; 2) sufficient funds are available, or can be made available, to support a programme over the many years that reintroduction will require; and 3) either sufficient numbers of animals are available so that reintroduction efforts are potentially viable, or only reinforcement of existing populations is considered. In the majority of cases, at least one, if not all, of these require- 280

284 Chapter 17 The Disposal of Confiscated Specimens ments will fail to be met. In such cases, other options for disposal of the animals must be considered. It should be emphasized that, if animals of a particular species or taxon are confiscated with some frequency, consideration should be given to whether to establish a reintroduction or reinforcement programme. Animals should not be held by the confiscating authority indefinitely while such programmes are planned, but should be transferred to a holding facility after consultation with the organization that is establishing the new programme. Answer: Yes: Transfer to holding facility or new programme. No: Pursue Captive options. 281

285 Chapter 17 The Disposal of Confiscated Specimens Decision tree for Captive options Q1 Will returning the animal to the wild make a significant contribution to the conservation of the species, including through education and other means? Contact local experts, IUCN, or appropriate IUCN/SSC Specialist Group No Q2 Have animals been found to be diseasefree by comprehensive veterinary screening and quarantine? Yes Yes Yes No Pursue options for Return to the wild Quarantine and screen. Are animals healthy, or can they be treated for infection? No Execute agreement and transfer Execute agreement and transfer Yes Yes Q3 Is space available in non-commercial captive facility (e.g. lifetime-care facility, zoo or rescue centre)? No Q4 Are private individuals able and willing to provide humane lifetime care on a non-commercial basis? Are institutions interested in animals for research under humane conditions? For Appendix-I species research shall benefit captive or wild populations of that or closely related species No Yes Execute agreement and transfer Yes Q5 Are institutions interested in animals for research conducted under humane conditions? For Appendix-I species, research shall benefit captive or wild populations of that or closely related species Execute agreement and transfer No No Q6 Is the species listed in Appendix I or regarded as endangered or critical? Yes No Execute agreement and transfer Yes Q7 Is there a commercial facility breeding this Appendix-I species and is that facility interested in the specimens? No Sell to qualified buyers No Q8 Are there grounds for concern that sale will stimulate further illegal or irregular trade? Yes Euthanasia Donate specimens to museum or research collection or dispose of by incineration 282

286 Chapter 17 The Disposal of Confiscated Specimens Decision tree for Return to the wild options Pursue Captive options Quarantine and screen. Are animals healthy or can they be treated for infection? No No Q1 Will returning the animal to the wild make a significant contribution to the conservation of the species, including through education and other means? Contact local experts, IUCN, or appropriate IUCN/SSC Specialist Group Yes Q2 Have animals been found to be diseasefree by comprehensive veterinary screening and quarantine? No Are institutions interested in animals for research under humane conditions? For Appendix-I species, research shall benefit captive or wild populations of that or closely related species Yes Yes No Euthanasia Yes Execute agreement and transfer Pursue Captive options No Q3 Can country of origin and site of capture be determined? Yes Q4 Can animals be expeditiously replaced to origin and do benefits of such action outweigh the risks? Yes Repatriate and reinforce at origin (specific location) following IUCN Guidelines No Q5 Does a generally recognized captivebreeding or reintroduction programme exist for the species in question? Contact IUCN, CITES Secretariat, and/or local authorities for advice Yes No Q6 Are the animals from an appropriate population for an existing breeding/ reintroduction programme? Yes Transfer to existing programme No Pursue Captive options No Q7 Is there a commitment to establish a new reintroduction programme following IUCN guidelines? Yes Transfer to holding facility or new programme 283

287 Chapter 17 The Disposal of Confiscated Specimens CITES guidelines for the disposal of confiscated live plants Annex 2 These Guidelines are addressed to authorities in countries of origin and countries of import. When government authorities seize and subsequently confiscate live plants, these authorities have a responsibility to dispose of them appropriately. In the case of importing countries, the country of origin and/or export of the plants will normally first be contacted and notified of the seizure. Within the confines of the law, the ultimate decision on disposal of confiscated plants must achieve three goals: It should again be noted that under CITES provisions the country of origin and the country of export can only be the same. a) to maximize conservation value of the specimens without in any way endangering the genetic integrity or conservation status of wild or cultivated populations of the taxon (species, subspecies, etc.); b) to discourage further illegal or irregular trade in the taxon; and c) to avoid the resources used by organizations involved in their care or disposal being diverted away from other equally important conservation activities. Statement of need Increased regulation of trade in wild plants and animals and enforcement of these regulations have resulted in an increase in the number of wildlife shipments intercepted by government authorities as a result of non-compliance with these regulations. In some instances, the interception is a result of patently illegal trade; in others, it is in response to other irregularities, such as insufficient or incomplete paperwork from the exporting country or poor packing of the shipment. Whilst in some cases the number of plants in a seized shipment is small, in many others the number is in the hundreds or thousands. Although, in many countries, confiscated plants have been donated to botanic gardens or other publicly managed living plant collections, this option is proving less viable with large numbers of poorly documented plants and common species of artificially propagated horticultural origin. In light of these trends, there is an increasing demand and urgent need for information and advice to guide CITES authorities in the disposal of live plants. Although the options available have been discussed for certain groups of plants, such as cycads, no general guidelines exist. When disposing of confiscated plants, authorities must adhere to national, regional and international law. The Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) requires that confiscated live specimens of taxa listed in the treaty s Appendices be returned to the State of export... or to a rescue centre or such other place as the Management Authority deems appropriate and consistent with the purpose of the Convention (Article VIII). However, the treaty does not elaborate on this requirement, and CITES Management Authorities must act according to their own interpretation, not only with respect to repatriation but also as regards what constitutes disposal that is appropriate and consistent with the treaty. Although the present guide- 284

288 Chapter 17 The Disposal of Confiscated Specimens lines are intended to assist CITES Management Authorities in making this assessment, they are designed to be of general applicability to all confiscated live plants. The lack of specific guidelines has resulted in confiscated plants being disposed of in a variety of ways, many inconsistent with conservation objectives. While, in some cases, replanting of confiscated plants into existing wild populations has been done after careful evaluation and with due regard for existing guidelines, in others, such releases have not been well planned. Such releases may have a strong negative conservation value by threatening existing wild populations. Threats to existing populations can take different forms: a) diseases and parasites acquired by the released plants while held on horticultural premises may spread into existing wild populations; and b) specimens planted amongst existing populations, or in areas near to existing populations, may not be of the same race or subspecies as those in the wild population, resulting in mixing of distinct genetic lineages. Until recently disposal of confiscated plants has meant either long term care in a botanic garden or transfer to a secure nursery for the purpose of artificial propagation in an attempt to lessen the demand for the species from wild sources. Management options Within a conservation perspective, by far the most important consideration in reviewing the options for disposal is the conservation status of the species concerned. For confiscated plants of endangered or threatened taxa, particular effort should be directed towards evaluating whether and how these plants might contribute to a conservation programme for the taxon concerned. The decision as to which option to employ in the disposal of confiscated plants will depend on various legal, economic and biological factors. The Decision Tree Analysis provided in the present guidelines is intended to facilitate consideration of these options. The tree has been written so that it may be used for both threatened and common taxa, although it is recognized that the conservation status of the taxa will be the primary consideration affecting whether or not confiscated plants might be of value to an active conservation propagation / reintroduction programme, and whether or not local or international agencies will be willing to make an investment in expensive and difficult tasks such as genetic determination of country of origin and site of collection, the establishment of reintroduction programmes, or reinforcement of extant wild populations. International networks of experts, such as the IUCN/Species Survival Commission s Specialist Groups, Botanic Gardens Conservation International (BGCI) and the International Association of Botanic Gardens (IABG), should be able to assist confiscating authorities and CITES Scientific and Management Authorities in their deliberations as to the appropriate disposal of confiscated specimens. Confiscated plants, whether destined for long term maintenance at horticultural premises or eventual reintroduction into the wild, should first be made available to propagation centres in the country of origin, if these exist and are willing to accept the consignment. 285

289 Chapter 17 The Disposal of Confiscated Specimens OPTION 1 MAINTENANCE IN CULTIVATION Seized plants are usually maintained in publicly managed horticultural establishments pending a decision on confiscation; subsequently there are numerous options for their maintenance. Placement may be in the country of origin, the country of export (if different), the country of confiscation, or a country with adequate and/or specialized facilities for the taxa in question. Depending on the circumstances and national laws, plants can be donated, loaned or sold. Final placement may be in botanic gardens or other publicly managed facilities, or with private organizations/individuals. It needs to be noted once more that the country of origin and the country of export cannot be different under CITES provisions. Placement options include: a) Botanic gardens and other publicly managed facilities, which are those that have mostly been used to date (and which in some cases are reaching the limit of capacity, placing in jeopardy their ability to carry out other from situ conservation activities). b) Universities and research laboratories, which maintain living botanical collections for many kinds of research and teaching purposes (e.g. molecular systematics, anatomy, cytogenetics, reproductive biology, etc.). Whether transfer of confiscated plants to research institutions is appropriate will depend on the likelihood that research carried out may eventually contribute information relevant to the species conservation. In some cases, the lack of known provenance will make transfer to a research institution an option unlikely to be exercised or desired. Depending on the nature of the research being carried out it may also be important to establish written agreements protecting the rights of the country of origin of the plants concerned in line with the Convention on Biological Diversity. c) Specialist societies or clubs devoted to the study and care of particular plant groups (e.g. succulent plants), which could, in some instances, provide an avenue for the disposal of confiscated plants without involving sale through intermediaries. However, care must be taken to ensure that such organizations do not include persons trading in wildcollected specimens. 286

290 Chapter 17 The Disposal of Confiscated Specimens d) Sale of confiscated specimens to traders, commercial propagators or others involved in commercial activities, which can provide a means of disposal that helps offset the costs of confiscation, especially in the case of large consignments of artificially propagated material. However, sale should not be considered unless the plants in question have been legally collected in the country of origin, are not going to be exploited in contravention of the Convention on Biological Diversity, are not subject to a legal prohibition on trade and there is no risk of stimulating further illegal or irregular trade. Sale to commercial propagators may contribute to reducing the demand for wild-collected specimens. At the same time, however, it may prove to be a poor option owing to the risk of creating a public perception of the State s perpetuating or benefiting from illegal (unlicensed) or irregular trade. Where plants are transferred by the confiscating authority but not sold, ownership by the Management Authority should be specified as one of the terms and conditions of the transfer. Where the country of origin may desire return of the plants, this desire should be respected, so long as the condition of the plants is such that they will survive the return voyage. The custodian (botanic garden or other organization) of confiscated plants should only move confiscated stocks to another facility for legitimate propagation purposes with the authorization of the administrative authority. Maintain in cultivation Benefits and disadvantages The benefits of placing confiscated plants in a facility that will provide a satisfactory standard of horticultural care include: a) educational value; b) potential for propagation for eventual reintroduction and/or to satisfy consumer demand for artificially propagated specimens; and c) potential to carry out genetic fingerprinting and other molecular studies contributing to a better understanding of the population genetics and therefore conservation status of the taxa concerned. The disadvantages of placing plants in a facility not involved in an established programme for artificial propagation and reintroduction include the following: a) The risk of encouraging illegal trade unless: i) the species to be sold is already available in the confiscating country in commercial quantities or as legally traded wild-collected specimens; and ii) wildlife traders under indictment for, or convicted of, crimes related to import of wildlife are prevented from obtaining the specimens in question. Placing threatened taxa into commercial trade should not be considered because of the risks of stimulating unwanted trade. Appendix-I taxa may be sold to a nursery registered under CITES for the propagation of Appendix-I taxa, but the confiscated specimens themselves should not be resold or enter commercial trade. Since artificially propagated offspring of Appendix-I taxa are deemed to be specimens of species included in Appendix-II, there is the potential for commercial growers to propagate specimens to replace wild-collected plants as a source for trade. Hence the loan or sale, in certain circumstances (e.g. to commercial nurseries) may have a higher poten- 287

291 Chapter 17 The Disposal of Confiscated Specimens tial for the conservation of the species than non-commercial disposal or destruction. Such propagation activities must be carefully assessed and approached with caution, since they may be difficult to monitor. It is essential that confiscating authorities recognize that there may be threatened plant taxa that are not currently included in CITES Appendix I but may, nevertheless, warrant the same treatment. b) Cost of placement. While seized plants are being maintained pending a decision on confiscation, the facility providing care for the plants may have its expenses reimbursed by the importer, airline carrier and/or the confiscating authority. Upon confiscation, if the plants are sold to a commercial organization, any payment received by the CITES authorities will place a value on such specimens. However, there is no evidence that trade would be encouraged if a commercial trader were to reimburse costs of care and transport. c) Disease. Confiscated plants may serve as vectors for disease and, therefore, must be subject to proper quarantine inspection. The potential consequences of the introduction of alien disease to a horticultural establishment are as serious as those of introducing disease to wild populations. d) Risk of escape. Plants can escape from horticultural control and become deleterious weeds. Accidental introduction of exotic species can cause tremendous damage and certain countries have strict legislation aimed at limiting the risks of this happening. OPTION 2 RETURN TO THE WILD Although CITES requires that repatriation of confiscated CITES-listed plants to the country of export be considered as an option for disposal by a confiscating authority, the treaty in no way requires that plants be returned to the wild in that country. These guidelines suggest that return to the wild would be a desirable option only in certain circumstances. Repatriation to avoid addressing the question of disposal of confiscated plants is irresponsible. When considering repatriation, the confiscating authority must ensure that the recipients of the plants are fully cognizant of the ramifications of repatriation and the options for disposal, as set forth in these Guidelines. Furthermore, the country returning a plant to its country of origin must ensure that the Management Authority in the country of origin is aware of the return and welcomes it. The rationale behind many of the decision options in this section is discussed in greater detail in the IUCN Guidelines for Reintroduction (IUCN/SSC Reintroduction Specialist Group, IUCN, 1995). It is important to note that these Guidelines make a clear distinction between the different options for returning organisms to the wild. These are elaborated below. a) Reintroduction: an attempt to establish a population in an area that was once part of the range of the species but where it has become extinct. Some of the best known reintroductions involving plants have been of taxa that were extinct in the wild. Other reintroduction programmes have involved taxa that existed in some parts of their historical range but that had been eliminated from other areas; the 288

292 Chapter 17 The Disposal of Confiscated Specimens aim of such programmes being to re-establish a population in an area, or region, from which the species has disappeared. b) Reinforcement of an existing population: the addition of specimens to an existing population of the same taxon. Reinforcement can be a powerful conservation tool when natural populations are diminished by a process which, at least in theory, can be reversed. Because of inherent disease risks, reinforcement should only be employed in instances where there is a direct and measurable conservation benefit (demographically or genetically), as when reinforcement is critical for the viability of the wild population into which a specimen is being placed. Return to the wild Concerns and benefits Before Return to the wild of confiscated plants is contemplated, several issues of concern must be considered in general terms: conservation value, cost, source of specimens and disease. a) Conservation value and cost. In cases where returning confiscated plants to the wild appears to be feasible, such action can only be undertaken if it does not threaten existing populations of wild plants and animals or the ecological integrity of the area in which they live. The conservation of the taxon as a whole, and of other organisms already living free, must take precedence over the welfare of specimens that are already in cultivation. b) Source of specimens. If the country of origin and site of collection of plants is not known, or if there is any question of their source, supplementation may lead to inadvertent pollution of distinct genetic races or subspecies. c) Disease. Plants maintained in cultivation and/or transported, even for a very short time, may be exposed to a variety of pathogens. Release of these plants into the wild may result in introduction of disease to conspecific or unrelated species with potentially catastrophic effects. Even if there is a very small risk that confiscated plants have been infected by exotic or common horticultural pathogens, the potential effects of introduced diseases on wild populations are so great that this will often preclude returning confiscated plants to the wild. Where confiscated plants are judged unsuitable for return to the wild, disease screening and appropriate quarantine are, nevertheless, essential (and are frequently a legal requirement) in order to ensure that they are free of disease, or that diseases and parasites harboured by these plants are already present in the cultivated population to which the specimens may be transferred. Introduced diseases can be a serious threat to horticultural establishments. Where such quarantine cannot provide a reasonable level of certainty that a specimen is healthy, isolation for an indefinite period or destruction of the confiscated specimens must be carried out. Clearly, there are instances where return to the wild of confiscated plants must be considered an option for disposal. First and foremost, the question to be addressed is: will returning the plants to the wild make a significant contribution to the conservation of the taxon in question? Release into the wild of any plant that has been held in horticultural premises is risky. While some diseases can be tested for, tests do not exist for all 289

293 Chapter 17 The Disposal of Confiscated Specimens plant diseases. Furthermore, plants held in horticultural premises are frequently exposed to diseases not usually encountered in their natural habitat. Given that any release incurs some risk, we must adopt the following precautionary principle : if there is no conservation value in releasing confiscated specimens, the possibility of accidentally introducing into the environment a disease that is not already present, however unlikely, will rule out returning confiscated specimens to the wild. There are certain benefits of returning plants to the wild, either through reintroduction or reinforcement of an existing population: a) In situations where the existing population is severely threatened, such an action might improve the long-term conservation potential of the taxon as a whole, or of a local population of the taxon. b) Returning plants to the wild makes a strong political/educational statement concerning their fate and may serve to promote local conservation values. However, as part of any education or public awareness programme, the costs and difficulties associated with return to the wild must be emphasized. OPTION 3 DESTRUCTION Destruction of plant material of common taxa, poorly documented specimens and/or those of horticultural origin, or of diseased material that will require expensive techniques to rid it of the diseases or pests involved, is clearly a justifiable action, especially when to keep the material in horticultural premises will cause the use of resources better directed to other conservation activities. Destruction of such material, if publicized, will also act to discourage the activities that led to confiscation, e.g. illegal collection (although the plants may be needed in the country of origin as evidence), failure to obtain correct import/export documents, poor packing, etc. In some cases, while it may be impractical to maintain plants in a living state in cultivation, their preservation as herbarium specimens may be desirable, especially if their country and site of origin is adequately documented and technical help for their preparation is available from the recipient herbarium or museum. This applies both to the country where the confiscation took place and to the country of origin, whose institutions may have been denied the right to receive material through illegal collecting. Destruction of material that is welldocumented as to its wild provenance should be done only as a last resort when all other options for its disposal have been exhausted. DECISION TREE ANALYSIS For decision trees dealing with Return to the wild and Maintain in cultivation options, the confiscating Party, in discussion with the CITES authorities in the country of origin (if appropriate), must first ask the question: Question 1: Will returning the plant to the wild make a significant contribution to the conservation of the taxon, including through education and other means? The most important consideration in deciding on disposal of confiscated specimens is the conservation of the taxon in question. Because there can never be absolute certainty 290

294 Chapter 17 The Disposal of Confiscated Specimens that a confiscated plant is free of pests and diseases, returning to the wild a specimen that has been held on horticultural premises will always involve some level of risk to existing populations of the same or other taxa in the ecosystem to which the plant is returned. Where returning confiscated plants, or their propagations, to the wild appears to be an achievable action, it must improve the prospects for survival of the existing wild population(s). Conservation interests are best served by ensuring the survival of as many specimens as possible, not just the short-term survival of a few specimens. The benefits of the reintroduction in terms of conservation value must clearly outweigh the potential risks. In most instances, the benefits of return to the wild will be outweighed by the costs and risks of such an action. If returning plants to the wild is not of conservation value, maintenance in cultivation in a propagation centre may pose fewer risks and may offer more conservation benefits. Answer: Yes: Investigate Return to the wild options. No: Investigate Maintain in cultivation options. DECISION TREE ANALYSIS MAINTAIN IN CULTIVATION The decision to maintain confiscated plants in cultivation, whether in the country of origin or elsewhere, involves a simpler set of considerations than does the decision to return them to the wild. Question 2: Have plants been subjected to comprehensive plant health screening and quarantine? Plants that may be transferred to horticultural premises must have a clean bill of health because of the risk of introducing disease to cultivated populations. These plants must be placed in quarantine to determine if they are disease-free before being transferred to a propagation centre. Answer: Yes: Proceed to Question 3. No: Quarantine and screen and move to Question 3. Question 3: Have plants been found to be disease-free by comprehensive plant health screening and quarantine or can they be treated for any pests and diseases discovered? If, during quarantine, the plants are found to harbour pests that cannot be eliminated or diseases that cannot reasonably be expected to be cured, they must be destroyed to prevent infection of other plants. If the plants are suspected to have come into contact with diseases for which screening is impossible, extended quarantine, donation to a research facility or destruction must be considered. Answer: Yes: Proceed to Question

295 Chapter 17 The Disposal of Confiscated Specimens No: If with chronic and incurable infection, first offer plants to research institutions or to herbaria/museums for preservation. If impossible to place in or not required by such institutions, destroy. Question 4: Are there grounds for concern that sale or donation will stimulate further illegal or irregular trade? Commercial sale of Appendix-I taxa might stimulate trade in these species. Taxa that are not listed in any CITES Appendix but that are nonetheless seriously threatened with extinction should be afforded the same caution. Sale or donation of confiscated plants, where legally permitted, is a difficult option to consider. While the benefits of sale income and quick disposal are clear, there are many problems that may arise as a result of further commercial transactions of the specimens involved. Equally, it should be noted that there may be circumstances where problems arise as a result of non-commercial transactions. It should also be noted that sale or donation to commercial nurseries may increase the availability of propagated material, thereby reducing the threats from wild-collection. More often than not, sale of threatened taxa should not take place. Sale of or trade in threatened species may be legally proscribed in some countries, or by CITES. There may be instances where a commercial nursery may purchase or receive specimens for propagation, which may reduce pressure on wild populations subject to trade. In all circumstances, the confiscating authority should be satisfied that: a) those involved in the illegal or irregular transaction that gave rise to confiscation cannot obtain the plants; b) the sale or donation does not compromise the objective of confiscation; and c) the sale or donation will not increase illegal, irregular or otherwise undesired trade in the taxon. Answer: Yes: Proceed to Question 5a. No: Proceed to Question 5b. Question 5a: Is space available in a botanic garden/non-commercial propagation centre, whether publicly managed or privately owned? Question 5b: Is space available in a botanic garden/non-commercial propagation centre, whether publicly managed or privately owned, or is there a commercial facility propagating this taxon, and is it interested in the plants? Transfer of plants to non-commercial propagation facilities, if their sale, donation or loan may stimulate further illegal or irregular trade, or to commercial propagation facilities, an option only if sale/donation/loan will not stimulate further illegal or irregular trade, should generally provide a safe and acceptable means of disposal of confiscated plants. When a choice must be made between several such institutions, the paramount consideration should be which facility can: a) offer the opportunity for the plants to be used in a programme of propagation; and 292

296 Chapter 17 The Disposal of Confiscated Specimens b) provide the most consistent care without compromising the resources available for other equally valuable conservation activities in which it is engaged. The terms and conditions of the transfer should be agreed between the confiscating authority and the recipient institution. Terms and conditions for such agreements should include: a) a clear commitment to ensure indefinite care to an acceptable standard or, in the event that this becomes impossible, transfer to another facility that can ensure such care; b) a clear specification of ownership of the specimens concerned (as determined by national law) and, where propagation may occur, the offspring. Depending on the circumstances, ownership may be vested with the confiscating authority, the country of origin or export, or with the recipient facility; and c) a clear specification of conditions under which the plants, or any plants propagated from them, may be sold. In the majority of instances, there will be limited facilities available in the country in which plants are confiscated. Where this is the case other horticultural options should be investigated. This could include transfer to a propagation centre outside the country of confiscation and ideally in the country of origin, or, if it will not stimulate further illegal trade, placement in a commercial propagation facility. However, such propagation programmes must be carefully assessed and approached with caution, bearing in mind the restraints implied by the Convention on Biological Diversity. It may be difficult to monitor these programmes and such programmes may unintentionally stimulate trade in wild-collected plants. The conservation potential of transfer to a commercial propagation facility, or loan for propagation, must be carefully weighed against even the smallest risk of stimulating trade that would further endanger the wild population of the taxon. In many countries, there are active specialist societies or clubs of individuals with considerable expertise in the care and propagation of particular plant groups in trade. Such organizations can assist in finding homes for confiscated plants without involving sale through intermediaries. In this case, individuals receiving confiscated plants must have demonstrated expertise in the cultivation of the taxa concerned and must be provided with adequate information and advice by the relevant club or society. Transfer to specialist societies or individual members must be made according to terms and conditions agreed with the confiscating authority. Placement with these societies or members is an option if sale or donation of the confiscated plants may or may not stimulate trade. Answer: Yes: Execute agreement and sell/donate/loan. No: Proceed to Question 6. Question 6: Are institutions interested in plants for research as museums specimens? Answer: Yes: Execute agreement and transfer. No: Destroy. 293

297 Chapter 17 The Disposal of Confiscated Specimens DECISION TREE ANALYSIS RETURN TO THE WILD Question 2: Have plants been subjected to comprehensive plant health screening and quarantine? Because of the risk of introducing disease to wild populations, plants that may be reintroduced must have a clean bill of health. These plants must be placed in quarantine to determine if they are disease-free before being considered for return. Answer: Yes: Proceed to Question 3. No: Quarantine and screen and move to Question 3. Question 3: Have plants been found to be disease-free by comprehensive plant health screening and quarantine or can they be treated for any pests and diseases discovered? If, during quarantine, the plants are found to harbour pests that cannot be eliminated or diseases that cannot be expected reasonably to be cured, unless any institutions are interested in the plants, whether alive or preserved, they must be destroyed to prevent spread of disease. If the plants are suspected to have come into contact with diseases for which screening is impossible, extended quarantine, donation to a research facility or destruction must be considered. Answer: Yes: Proceed to Question 4. No: If with chronic and incurable infection, first offer plants to research institutions or to herbaria/museums for preservation. If impossible to place in such institutions, destroy. Question 4: Can country of origin and site of collection be confirmed? The geographical location from which confiscated specimens have been removed from the wild must be determined if these specimens are to be reintroduced or used to supplement existing populations. In most cases, plants should only be returned to the population from which they were taken or to populations that are known to have gene exchange with this population. If the provenance of the plants is not precisely known, their use for reinforcement may lead to inadvertent hybridization of distinct genetic races or subspecies. Related plant taxa that live in sympatry in the wild and never hybridize may do so when held in cultivation and this problem is in no way restricted either to naturally sympatric taxa or even to closely related taxa in the plant kingdom. Answer: Yes: Proceed to Question 5. No: Pursue Maintain in cultivation options. Question 5: Can specimens be returned expeditiously to origin (specific location), and will benefits to conservation of the taxon outweigh any risks of such action? Reintroduction of the specimens and reinforcement of the population will only be options under certain conditions and following the IUCN/SSC Reintroduction Specialist 294

298 Chapter 17 The Disposal of Confiscated Specimens Group s 1995 Guidelines. An appropriate habitat for such an operation should still exist in the specific location from which the specimens were removed. Answer: Yes: Repatriate and reinforce at origin (specific location) following IUCN Guidelines. No: Proceed to Question 6. Question 6: For the taxon/taxa in question, does a generally recognized programme exist whose aim is conservation of that/those taxon/taxa and eventual return to the wild of confiscated specimens and/or their progeny? (Contact relevant IUCN/SSC Specialist Group, BGCI and/or IABG). In the case of species for which active propagation and/or reintroduction programmes exist, and for which further propagation material / mother plants are required, confiscated plants should be transferred to such programmes after consultation with the appropriate scientific authorities. If there is such a programme for the taxon in question, but the actual subspecies or race confiscated is not part of this programme, other methods of disposal must be considered. Particular attention should be paid to genetic screening to avoid jeopardizing reintroduction programmes through inadvertent hybridization. Answer: Yes: Execute agreement and transfer to existing programme. No: Proceed to Question 7. Question 7: Is there a need and is it feasible to establish a new reintroduction programme following IUCN Guidelines? In cases where specimens cannot be transferred to existing reintroduction programmes, return to the wild, following appropriate guidelines, will only be possible under the following circumstances: a) appropriate habitat exists for such an operation; b) sufficient funds are available, or can be made available, to support a programme over the many years that (re)introduction will require; and c) either sufficient numbers of specimens are available so that reintroduction efforts are potentially viable or only reinforcement of existing populations is considered. In the majority of cases, at least one, if not all, of these requirements will fail to be met. In this instance, either conservation introductions outside the historical range of these species or other options for disposal of the plants must be considered. It should be emphasized that, if a particular taxon is confiscated with some frequency, consideration should be given as to whether to establish a reintroduction, reinforcement or introduction programme. Plants should not be held by the confiscating authority indefinitely while such programmes are planned, but should be transferred to a holding facility after consultation with the organization that is establishing the new programme. Answer: Yes: Execute agreement and transfer to holding facility or new programme. No: Pursue Maintain in cultivation options. 295

299 Chapter 17 The Disposal of Confiscated Specimens Decision tree for Maintain in cultivation options Q1 Will returning the plant to the wild make a significant contribution to the conservation of the taxon, including through education and other means? Yes No Investigate Return to the wild options (see next page) Q2 Have plants been subjected to comprehensive plant health screening and quarantine? Yes No Quarantine and screen and move to Q3 Q3 Have plants been found to be disease-free by comprehensive plant health screening and quarantine or can they be treated for any pests and diseases discovered? No Yes If with chronic and incurable infection, first offer plants to research institutions or to herbaria/museums for preservation. If impossible to place in or not required by such institutions, destroy Q4 Are there grounds for concern that sale or donation will stimulate further illegal or irregular trade? Yes No Q5a Is space available in a botanic garden/noncommercial propagation centre, whether publicly managed or privately owned? Q5b Is space available in a botanic garden/noncommercial propagation centre, whether publicly managed or privately owned, or is there a commercial facility propagating this taxon, and is it interested in the plants? No Yes Yes No Execute agreement and sell/donate/loan Q6 Are institutions interested in plants for research as museum specimens? Yes No Execute agreement and transfer Destroy 296

300 Chapter 17 The Disposal of Confiscated Specimens Decision tree for Return to the wild options Q1 Will returning the plant to the wild make a significant contribution to the conservation of the taxon, including through education and other means? No Yes Investigate Maintain in cultivation options (see previous page) Q2 Have plants been subjected to comprehensive plant health screening and quarantine? No Yes Quarantine and screen and move to Q3 Q3 Have plants been found to be disease-free by comprehensive plant health screening and quarantine or can they be treated for any pests and diseases discovered? No Yes If with chronic and incurable infection, first offer plants to research institutions or to herbaria/museums for preservation. If impossible to place in such institutions, destroy Q4 Can country of origin and site of collection be confirmed? Yes No Pursue Maintain in cultivation options (see previous page, Q3) Q5 Can specimens be returned expeditiously to origin (specific location), and will benefits to conservation of the taxon outweigh any risks of such action? No Yes Repatriate and reinforce at origin (specific location) following IUCN Guidelines Q6 For the taxon/taxa in question, does a generally recognized programme exist whose aim is conservation of that/those taxon/taxa and eventual return to the wild of confiscated specimens and/or their progeny? (Contact relevant IUCN/SSC Specialist Group, BGCI and/or IABG) Yes No Execute agreement and transfer to existing programme Q7 Is there a need and is it feasible to establish a new reintroduction programme following IUCN Guidelines? Yes No Execute agreement and transfer to holding facility or new programme Pursue Maintain in cultivation options (see previous page, Q4) 297

301 Chapter 17 The Disposal of Confiscated Specimens Guidelines to develop an action plan on seized and/or confiscated live specimens These are contained in Annex 3 to Resolution Conf (Rev. CoP15), which provides that: Each Party should develop a plan of action that can be executed without delay in the event that live specimens are seized. This action plan should be developed in accordance with the CITES Guidelines for the Disposal of Confiscated Live Animals in Annex 1 and the CITES Guidelines for the Disposal of Confiscated Live Plants in Annex 2. The plan should: 1. identify means for procuring funds to provide care, quarantine, and transport and other costs incurred for seized and confiscated live specimens. Funding might be secured through levying of fines, obtaining reimbursement from importers, licensing and bonding importers and exporters, requiring import duties or permit fees, seeking donations from private or government sources, obtaining government allocations, or selling confiscated live specimens, where appropriate; 2. establish a procedure for implementing the Guidelines in accordance with the Party's domestic law and policy; 3. identify government agencies and personnel with authority to make decisions regarding the seizure and disposal of live specimens and clarify their roles and jurisdiction in this process. Such agencies and personnel may include Customs, agricultural inspection services, law enforcement agencies, veterinary agencies, public health services, and the Management and Scientific Authorities; 4. identify which authority in the country of origin listed in the CITES Directory should be contacted in the event that live specimens are seized. This authority should be annotated in the CITES Directory; 5. provide for training of personnel involved in the seizure and disposal of live specimens to ensure both the immediate and long-term welfare of the specimens; 6. include a list of experts who or institutions which can assist in species identification, care and/or other technical aspects of the seizure, confiscation and disposal process; 7. identify and/or develop facilities to provide for the care of live specimens immediately after seizure; 8. identify temporary holding facilities that have agreed to provide adequate care for seized live specimens of particular taxa until the confiscation process is completed; 9. identify approved facilities and programmes located within the country that have agreed to provide adequate care, including veterinary or phytosanitary care, and that are willing to accept confiscated live specimens of particular taxa. Parties should prepare a list of such facilities and programmes, which should be submitted to the Secretariat which will make it available to the Parties on request; and 10. ensure that the Party begins evaluating options for disposal of seized live specimens immediately after seizure. 298

302 Chapter 18 - Records and Reports Article VIII, paragraph 6 Each Party shall maintain records of trade in specimens of species included in Appendices I, II and III which shall cover: the names and addresses of exporters and importers; and the number and type of permits and certificates granted; the State with which such trade occurred; the numbers or quantities and types of specimens, names of species as included in Appendices I, II and III and, where applicable the size and sex of the specimens in question. Article VIII, paragraph 7 Each Party shall prepare periodic reports on its implementation of the present Convention and shall transmit to the Secretariat: an annual report containing a summary of the information specified in paragraph 6 (b) of this Article; and a biennial report on legislative, regulatory and administrative measures taken to enforce the provisions of the present Convention. Article VIII, paragraph 8 The information referred to in paragraph 7 of this Article shall be available to the public where this is not inconsistent with the law of the Party concerned.

303 Biennial reports and format Chapter 18 Records and Reports The biennial reports on legislative, regulatory and administrative measures taken to enforce the provisions of the Convention, provided for in Article VIII.7(b), can either be provided to the Secretariat separately or in combination with the annual reports on trade. With Resolution Conf the Conference of the Parties recognized that information on current national and international legislation relating to species of wild fauna and flora is important for the effective implementation of the Convention. It noted the work of the IUCN Environmental Law Centre in this respect and recommended that Parties provide additional information and corrections as required, on relevant legislative and regulatory texts. The UNEP International Referral System was called on to continue to cooperate in the work and the Secretariat was requested to continue the project for the updating and further development of the Index of Species Mentioned in Legislation. In Resolution Conf. 5.4 the Conference of the Parties noted that the biennial submission of a legal and administrative report was mandatory. Decision directed the Secretariat to identify ways to reduce the reporting burden on Parties. Resolution Conf (Rev.CoP15) on National reports considers the obligation of Parties to submit periodic reports under the provisions of Article VIII, paragraph 7, of the Convention. It recognizes the importance of the annual reports and biennial reports as the only available means of monitoring the implementation of the Convention and the level of international trade in specimens of species included in the Appendices. It acknowledges the necessity for the annual reports and biennial reports of the Parties to be as complete as possible and to be comparable. It urges all Parties to submit their biennial reports by 31 October following the year for which they are due and in accordance with the Biennial report format distributed by the Secretariat, as may be amended by the Secretariat from time to time with the concurrence of the Standing Committee. A printable version of the format is available from the CITES website in.pdf and.doc format. At the time of writing of this book, an electronic version was in the making, which will greatly facilitate submission. The Resolution also urges all Parties to submit biennial reports covering the same twoyear periods beginning with the period from 1 January 2003 to 31 December

304 Chapter 18 Records and Reports It further urges Parties with multiple Management Authorities to submit a coordinated annual and biennial report to the extent possible. Special reporting requirements Decision (Rev. CoP15) instructs the Standing Committee, with the assistance of its Working Group on Special Reporting Requirements and the Secretariat, to: a) continue its review of the recommendations to Parties to provide special reports under the Convention, assess whether they have been or might be effectively incorporated into the annual and biennial reports, and consider how the biennial report format might be revised to facilitate such incorporation; b) revise the standard biennial report format to gather information from Parties on incentive measures for implementation of the Convention, conservation measures for Appendix-I listed species and case studies on user fees; c) by its 61st meeting (SC61), follow up on how the reporting required in the indicators for the CITES Strategic Vision: would be undertaken and, by SC62, begin applying the indicators; and d) report at the 16th meeting of the Conference of the Parties on its conclusions and recommendations. Decision (Rev. CoP15) instructs the Secretariat to: a) continue to collaborate with the secretariats of other conventions, UNEP and other bodies in order to facilitate the harmonization of knowledge management and reporting; b) identify additional ways to reduce the reporting burden on Parties, inter alia, in the context of Party-led initiatives, its ongoing review of the Resolutions and Decisions of the Conference of the Parties, its support to the Standing Committee on electronic permitting and its work with partners to compile and analyze CITES-related reports; and c) report at the 16th meeting of the Conference of the Parties on the results of this work. Annual reports on trade The importance of annual reports cannot be stressed enough. The annual reports of all Parties together should provide statistical information on the volume of world trade in all CITES species; information which is an invaluable element for the assessment of the conservation status of the species concerned. Comparing the figures reported by all Parties with each other should further provide a picture of the individual performance of Parties with regard to CITES implementation and reveal possible violations or frauds. 301

305 Chapter 18 Records and Reports Article XII.2 (d) provides that it shall be a function of the Secretariat to study the reports of Parties and to request from Parties such further information with respect thereto as it deems necessary to ensure implementation of the Convention. The Conference of the Parties adopted a series of Resolutions on the preparation of annual reports and the Secretariat developed Guidelines for the Preparation of CITES Annual Reports. With Resolution Conf. 9.4 (Rev.), the recommendations from all previous Resolutions were consolidated, but it was replaced by Resolution Conf in The latter was revised in 2002, 2004 and 2007 and is now referred to as Resolution Conf (Rev. CoP14), which deals with National Reports more generally. Resolution Conf (Rev. CoP14) appeals to all Parties, and to non-governmental organizations interested in furthering the objectives of the Convention, to make financial contributions to the Secretariat to support the trade and other monitoring work of the Secretariat and that of the UNEP World Conservation Monitoring Centre undertaken under contract to the Secretariat. The Conference of the Parties considers the obligation of Parties to submit periodic reports under the provisions of Article VIII, paragraph 7, of the Convention and recognizes the importance of the annual reports and biennial reports as the only available means of monitoring the implementation of the Convention and the level of international trade in specimens of species included in the Appendices. It acknowledges the necessity for the annual reports and biennial reports of the Parties to be as complete as possible and to be comparable. It considers that the provisions of Article XII, paragraph 2 (d), of the Convention require the Secretariat to study the periodic reports of Parties and appreciates the valuable assistance in meeting this responsibility provided by the UNEP World Conservation Monitoring Centre under contract to the Secretariat. It notes that the use of computers can help to ensure that trade statistics and information on Convention implementation are dealt with more effectively. The Conference of the Parties expresses concern that many Parties have not followed the recommendations of the Conference of the Parties and of the Secretariat that the annual reports be submitted by 31 October following the year for which they are due and following the guidelines for the preparation of such reports and that many Parties have not regularly submitted biennial reports. It urges all Parties to submit their annual reports required under the provisions of Article VIII, paragraph 7 (a), in accordance with the most recent version of the Guidelines for the preparation and submission of CITES annual reports distributed by the Secretariat and as may be amended with the concurrence of the Standing Committee. 302

306 Chapter 18 Records and Reports It urges all Parties to submit their biennial reports required under the provisions of Article VIII, paragraph 7 (b), by 31 October following the year for which they are due and in accordance with the Biennial report format distributed by the Secretariat, as may be amended by the Secretariat from time to time with the concurrence of the Standing Committee. It also urges all Parties to submit biennial reports covering the same two-year periods beginning with the period from 1 January 2003 to 31 December It further urges Parties with multiple Management Authorities to submit a coordinated annual and biennial report to the extent possible. It acknowledges that the Conference of the Parties may request that Parties provide special reports not required by the Convention, if additional information is needed that cannot be sought via the annual or biennial report. It recommends that each Party to the Convention, if a member of a regional trade agreement within the meaning of Article XIV, paragraph 3, of the Convention, include in its annual reports information on trade in specimens of species included in Appendices I, II and III with other member States of that regional trade agreement, unless the recordkeeping and reporting duties of Article VIII are in direct and irreconcilable conflict with the provisions of the regional trade agreement. Resolution Conf. 6.5 on the implementation of CITES in the European Economic Community recommended that it monitor the movement of CITES specimens within and between Member States in accordance with the mechanisms foreseen in its legislation and by use of existing forms. The Conference of the Parties also recommends that, when compiling their annual reports in accordance with Article VIII, paragraph 7, of the Convention and this Resolution, Parties pay particular attention to the reporting of trade in specimens of species subject to annual export quotas. For these species, the report should indicate the level of the quota and the amount actually exported. In cases where trade is authorized in the reporting year in specimens obtained under a quota for the previous year, this should be reflected in the annual report. It urges every Party to consider whether the preparation of its statistical and implementation reports could be computerized and the submission of such reports made in electronic format. Resolution Conf. 5.6 already urged every Party to consider whether the preparation of its statistical reports could be computerized, or undertaken under a contract between the Party and the Wildlife Trade Monitoring Unit of the World Conservation Monitoring Centre. 303

307 Chapter 18 Records and Reports It further urges Parties experiencing problems with the regular preparation and submission of annual or biennial reports to seek assistance from the Secretariat to produce those reports. It recommends that Parties studying or developing computer programmes for licensing and reporting trade as well as managing other information under the Convention consult with each other, and with the Secretariat, in order to ensure optimal harmonization and compatibility of systems (from Resolution Conf. 3.10). Failure to submit annual reports Decision instructed the Standing Committee to undertake a review of the reporting requirements under the Convention with a view to identifying and analyzing the causes of non-compliance with those requirements and proposing ways to turn reporting requirements into useful management tools for Parties. With Resolution Conf (Rev.CoP14) the Conference of the Parties decides that: a) failure to submit an annual report by 31 October of the year following the year for which the report was due constitutes a major problem with the implementation of the Convention, which the Secretariat shall refer to the Standing Committee for a solution in accordance with Resolution Conf (Rev. CoP14); and b) the Secretariat may approve a valid request from a Party for a reasonable extension of time to the 31 October deadline for the submission of annual or biennial reports provided the Party submits to the Secretariat a written request, containing adequate justification, before that deadline. It instructs the Standing Committee to determine, on the basis of reports presented by the Secretariat, which Parties have failed, for three consecutive years and without having provided adequate justification, to provide the annual reports required under Article VIII, paragraph 7 (a), of the Convention within the deadline (or any extended deadline) provided in the present Resolution. It recommends that Parties not authorize trade in specimens of CITES-listed species with any Party that the Standing Committee has determined has failed, for three consecutive years and without having provided adequate justification, to provide the annual reports required under Article VIII, paragraph 7 (a), of the Convention within the deadline (or any extended deadline) provided in the present Resolution. The number of Parties with which a suspension of trade would have been decided under the above recommendation was sometimes so great that the Standing Committee delayed its determination of the failure to report for three consecutive years to its next meeting, giving Parties another year to catch up with their reporting. 304

308 Chapter 18 Records and Reports Provisions in other Resolutions of relevance to reporting Resolution Conf. 4.6 (Rev.CoP15) on the submission of documents to the Conference of the Parties, provides in paragraph d), that, when drafting resolutions and decisions which require the gathering of information, a Party consider whether such information could be sought via the annual or biennial report, or if a special report is needed, and generally ensure that the reporting burden is kept to a minimum. Resolution Conf (Rev. CoP14) on reservations recommends that any Party having entered a reservation with regard to any species included in Appendix I treat that species as if it were included in Appendix II for all purposes, including documentation and control. Resolution Conf on travelling live animal exhibitions recommends in paragraph j), that the Parties include in their annual reports lists of all pre-convention certificates and certificates of captive breeding issued for specimens in exhibitions. Yearbook of International Wildlife Trade Resolution Conf requested the Secretariat to continue the regular comparative tabulation of annual reports from Parties, with a view to the publication of a Yearbook of International Wildlife Trade; and in consultation with the Chairman of the Technical Expert Committee, to explore the availability of the external funding for this purpose. The Yearbook concerned was never published and the above request is no longer repeated in Resolution Conf (Rev. CoP 14). Guidelines for the preparation and submission of CITES annual reports The guidelines are contained in Notification 2010/013 of June 2010 and are also provided here: 1. Introduction Article VIII, paragraph 7, of the Convention requires each Party to submit to the Secretariat an annual report summarizing the following information: the number and type of permits and certificates granted; the States with which trade in specimens of species included in Appendices I, II and III occurred; the numbers or quantities and types of specimens and the names of species as included in Appendices I, II and III; and the size and sex of the specimens in question. 305

309 Chapter 18 Records and Reports The present guidelines for the submission of annual reports were prepared by the Secretariat in accordance with Resolution Conf (Rev. CoP13, now Rev. CoP14)) and were approved by the Standing Committee. They were corrected by the Secretariat following the 15th meeting of the Conference of the Parties (Doha, 2010) to incorporate the results of decisions made at that meeting, take account of changes in standard nomenclature and update the ISO codes for countries and territories. One of the functions of these guidelines is to encourage Parties to present information in a standard form, so that it can be easily computerized, with two main objectives: to enable monitoring of the extent of world trade in each species included in the CITES Appendices and the identification of potentially harmful trade; and to enable monitoring of the implementation of the Convention and the detection of potentially illicit trade. The standard format proposed herein is designed for data on specimens imported, exported, re-exported or introduced from the sea, or on permits or certificates issued. It does not deal with any other information to be included in a report (such as information on administration and details of prosecutions), which may be presented in the format considered by the reporting Management Authority to be the most appropriate. Note from the author: the any other information referred to here should be included in the biennial report and in the format recommended for that report. 2. General principles a) Annual reports must contain information on imports, exports, re-exports and introductions from the sea of specimens of all species included in Appendices I, II and III. However, as information on trade in manufactured products is of limited use, it is considered acceptable for records of trade in manufactured specimens of species in Appendices II and III to be summarized in the report [see paragraph g) below]. Where the products include contents not derived from CITES species, the figure recorded should, as far as possible, be the amount that is actually from specimens of CITES species. b) Each annual report should cover the period 1 January to 31 December. c) Annual reports should be prepared in one of the three working languages of the Convention: English, French and Spanish. d) The data should be divided into two main categories: IMPORTS; and EXPORTS AND RE-EXPORTS. A separate section may be made to summarize the imports, exports and re-exports of manufactured products derived from species included in Appendices II and III. Any introductions from the sea should be included in the section on imports. 306

310 Chapter 18 Records and Reports e) As far as possible, the data in the report should record the actual trade that took place, i.e. the quantity of specimens that entered or left the country. If it is not possible to report the actual exports and re-exports, the data on such trade should come from each permit and certificate issued. The report should state clearly whether the data used for the records of imports and exports/re-exports are based on permits/certificates issued or on actual trade. f) The animal and plant species traded should be listed in the taxonomic order given in the Appendices of the Convention, under the following headings: Mammalia, Aves, Reptilia, Amphibia, Elasmobranchii, Actinopterygii, Sarcopterygii, Holothuroidea, Arachnida, Insecta, Hirudinoidea, Bivalvia, Gastropoda, Anthozoa, Hydrozoa, Flora. The species of flora should be listed following the alphabetical order of the families. Within each family, genera and species should be arranged alphabetically. g) The report should include a record of each shipment of each species. However, for shipments of manufactured products derived from species in Appendices II and III [see paragraph a) above] the trade may be summarized. Summaries of trade in manufactured products of species in Appendix II and III need indicate only the following: the number and type of permits and certificates granted; the States with which such trade occurred; and the names of the species and the total numbers or quantities and types of specimens. h) The data should include entries, in the appropriate taxonomic position, in respect of specimens seized and/or confiscated [see recommendation 3 i) below]. i) Any record relating to a specimen that was traded in accordance with an exemption, under Article VII of the Convention, should be annotated to show this. The annotation may be included in the column for Source or Remarks. 3. Specific instructions The headings in this section refer to the column headings in the recommended format for reports, in section 4 below. a) Appendix Enter the number of the Appendix in which the taxon was listed at the time the trade was authorized. NB: If a specimen of a species in Appendix I is considered or treated as being in Appendix II because it was bred in captivity or artificially propagated, or because the trading Party has entered a reservation, the specimen is nonetheless of a species in Appendix I. 307

311 Chapter 18 Records and Reports b) Species Enter the scientific name of the species or subspecies, using the binomial (genus and species) or trinomial (genus, species and subspecies). The scientific names used must be those recorded in the Appendices or, for species included in the Appendices as part of a higher-taxon listing, those included in the standard lists of names approved by the Conference of the Parties. (Approved names are also found in the Checklist of CITES species, the CITES bulb checklist, the CITES Cactaceae checklist and the CITES orchid checklist.) The names of higher taxa should not be used to indicate the species traded unless the specimens cannot be identified, in which case the name of the genus must be indicated (see separate relevant Notifications, e.g. regarding trade in stony corals). Regarding plants Parties should: i) make every effort to report trade in CITES-listed plants at the species level or, if this is impossible for those taxa included in the Appendices by family, at the generic level; however, artificially propagated Appendix-II orchid hybrids may be reported as such; ii) distinguish in their annual reports between plant specimens of wild and of artificially propagated origin; iii) consult their national timber organizations to identify any anomalies in their annual reports and to discuss remedies if such anomalies exist; and iv) carefully review their procedures for reporting the trade in timber species included in the Appendices to ensure that reporting is based on permits used rather than permits issued. Regarding raw ivory Parties should include in their annual reports complete data on imports, exports and reexports of raw ivory including, as a minimum, the country of origin, the year that the export was authorized under a quota, the number of whole or substantially whole tusks, and their individual weights and serial numbers; Regarding black corals, Parties should make every effort to report trade at the species level but, if this is not practical, they should adopt the following guidance: a) for trade in worked specimens of black coral where the species cannot be readily determined, the specimens may be recorded at the genus level and where the genus cannot be readily determined, the trade may be recorded at the level of Order Antipatharia ; 308

312 Chapter 18 Records and Reports b) trade in raw black coral and live black coral should continue to be identified in trade to species level; and Regarding stony corals, Parties should make every effort to report trade at the species level or, if this is not practical, at the generic level at least. However, Parties should note that: i) for shipments where base rock and substrate made of coral, but not including pieces of coral collected alive and exported dead, cannot be identified to the level of genus, the trade may be recorded at the level of order [see Resolution Conf (Rev. CoP15)]; and ii) shipments of coral sand and coral gravel that do not contain large pieces of gravel may be recorded at the level of order (Scleractinia) [see Resolution Conf (Rev. CoP15)]. Note: With Resolution Conf. 9.6 (Rev.), the 11th meeting of the Conference of the Parties agreed that coral sand and coral fragments [as defined in the Annex to Resolution Conf (Rev. CoP15)] are not considered readily recognizable and are therefore not covered by the provisions of the Convention. The common name of the species may be recorded in addition to the scientific name, but it is not required. Note: Notification to the Parties 2010/014 also addresses trade in stony corals and provides a list of coral taxa where identification to genus level is acceptable, see page 173: At its 18th meeting (San José, April 2002), the Animals Committee adopted a list of coral genera that could be identified to the species level and of those that could be identified to the genus level only. These lists were accepted by the Conference of the Parties at its 12th meeting (Santiago, 2002) and disseminated by the Secretariat through Notification to the Parties No. 2003/020 of 4 April At its 15th meeting (CoP15, Doha, 2010), the Conference of the Parties instructed the Secretariat to re-issue Notification to the Parties No. 2003/020 of 4 April 2003 without the list of stony coral taxa identifiable to species level contained in Annex 1. The Secretariat therefore provides in the Annex to the present Notification a list of stony coral genera for which identification to genus level only is acceptable for the purpose of implementing Resolutions Conf (Rev. CoP14) and Resolution Conf (Rev. CoP15). Nevertheless, these taxa should be identified to species level where feasible. 309

314 Chapter 18 Records and Reports c) Description Enter the description of the specimens in accordance with the terminology of specimens listed in section 5 a) below. If codes are used to indicate the type of specimen (for example, if the annual report is computerized) the codes in section 5. a) should be used. If it is not clear which is the correct term to use, or if the specimens are not apparently covered by any of the terms in section 5. a), use whatever terms are appropriate to ensure that the specimens are accurately described. NB: The terms in section 5. a) are not necessarily for use on permits. The descriptions of specimens on permits should be as precise as possible. d) Quantity Enter the quantity of specimens that is appropriate to the type of specimen, in accordance with the list in section 5 a) below. The quantity recorded should be only the quantity of the specimen of the species named. For example, if 10 kg of cloth contains only 100 g of hair of Lama guanicoe, the quantity recorded should be only 100 g. The preferred unit of quantity indicated in section 5. a) should be recorded if possible. Otherwise the alternative unit that is indicated should be used. Both units may be recorded if the data are available. If the unit of quantity used is neither the preferred unit nor the alternative unit, the annual report should contain the conversion factor to one of these units. If the data cannot be obtained to allow entry of either the preferred or the alternative units, the quantity of specimens should be recorded so as to allow: verification of the quantity actually traded; and where relevant, estimation of the impact of the trade on the wild population of the species. As far as possible, quantities should be recorded in metric measures. Quantities should always be recorded in standard units of measure and never in nonstandard units such as boxes, cartons or bales. e) Quotas For species subject to quotas, include a table listing the species and specimens, the level of the quota and the total number or quantity of specimens for which export was authorized or, preferably, the total number or quantity actually exported. This should be 311

315 Chapter 18 Records and Reports done for the national quotas as well as for those determined by the Conference of the Parties. f) Country of export/origin/destination In the section of the annual report on exports and re-exports, record: country of destination; and country of origin of re-exports. In the section of the annual report on imports, record: country from which the specimens were consigned (i.e. country of export or reexport); and country of origin, if it is a different country. The name of the country in each case should either be indicated in full or by the use of two-letter codes for the representation of names of countries, in accordance with the list in section 5 b) below. g) Permit or certificate number In the case of exports and re-exports, enter the number of the permit or certificate issued to cover the shipment. In the case of imports, enter the number of the export permit, re-export certificate or other certificate issued by the Management Authority or competent authority of the exporting or re-exporting country. (Do not enter the number of the import permit.) In the case of introductions from the sea, enter the number of the certificate of introduction. h) Purpose Enter the purpose of the transaction in accordance with the terminology in section 5 c) below. If the purpose is not one of those specified, it should be explained in the section for remarks. i) Source Enter the source of the specimens in accordance with the terminology in section 5 d) below. This column should also be used to indicate specimens seized, confiscated or illegally traded. 312

316 Chapter 18 Records and Reports j) Remarks This column should be used to: justify omission in other columns, such as the name of the country of origin; indicate introductions from the sea; indicate whether a specimen was traded in accordance with one of the exemptions under Article VII of the Convention if this is not indicated in another column (e.g. if the specimens were pre-convention or traded between registered scientific institutions); indicate the registration numbers in the case of transactions between registered scientists or scientific institutions; include any additional information on confiscated or seized specimens; specify identification markings (tag number, ring number, etc.). 4. Recommended format Annual reports may be submitted in the form of printed or hand-written reports or in electronic format. In either case, the information submitted should correspond to that indicated in the following tables. IMPORTS Appendix Species Description Quantity Country of export or re-export Number of export permit or re-export certificate Country of origin of reexports Purpose Source Remarks Appendix Species Description EXPORTS/RE-EXPORTS Quantity Country of destination Number of export permit or re-export certificate Country of origin of reexports Purpose Source Remarks 313

318 Chapter 18 Records and Reports Description Code Preferred unit Alternative unit Explanation cloth CLO m 2 kg cloth if the cloth is not made entirely from the hair of a CITES species, the weight of hair of the species concerned should instead, if possible, be recorded under "HAI" coral (raw) COR kg no. coral, raw or unworked. NB: the trade should be recorded by number of pieces only if the coral specimens are transported in water culture CUL no. of flasks, etc. cultures of artificially propagated plants derivatives DER kg/l derivatives (other than those included elsewhere in this table) dried plant DPL no. dried plants e.g. herbarium specimens ear EAR no. ears usually elephant egg EGG no. kg whole dead or blown eggs (see also 'caviar') egg (live) EGL no. kg live fertilized eggs usually birds and reptiles but includes fish and invertebrates eggshell SHE g/kg raw or unworked eggshell except whole eggs extract EXT kg l extract usually plant extracts feather FEA kg/ no. of wings no. feathers in the case of objects (e.g. pictures) made of feathers, record the number of objects fibre FIB kg m fibres e.g. plant fibre but includes strings of tennis rackets fin FIN kg fresh, frozen or dried fins and parts of fins fingerlings FIG kg no. juvenile fish of one or two years of age for the aquarium trade, hatcheries or for release operations flower FLO kg flowers 315

322 Chapter 18 Records and Reports Description Code Preferred unit Alternative unit Explanation timber TIM m 3 kg raw timber except saw-logs and sawn wood trophy TRO no. trophy all the trophy parts of one animal if they are exported together: e.g. horns (2), skull, cape, backskin, tail and feet (i.e. ten specimens) constitute one trophy. But if, for example, the skull and horns are the only specimens of an animal that are exported, then these items together should be recorded as one trophy. Otherwise the items should be recorded separately. A whole stuffed body is recorded under "BOD". A skin alone is recorded under "SKI" tusk TUS no. kg substantially whole tusks, whether or not worked. Includes tusks of elephant, hippopotamus, walrus, narwhal, but not other teeth veneer sheets rotary veneer sliced veneer VEN VEN m 3 m 2 kg kg thin layers or sheets of wood of uniform thickness, usually 6mm or less in thickness, usually peeled (rotary veneer) or sliced (sliced veneer), for use in making plywood, for veneering furniture, veneer containers, etc. wax WAX kg wax, including ambergris whole WHO kg no. entire animal or plant (dead or alive) 319

323 Chapter 18 Records and Reports Key to units (equivalent non metric measurements may be used) g kg l cm 3 ml m m 2 m 3 no. = grams = kilograms = litres = cubic centimetres = millilitres = metres = square metres = cubic metres = number of specimens Names of countries and territories The countries and entities listed below are designated in accordance with the English country names and code elements published by the International Organization for Standardization (ISO). Out-of-date names of countries and territories are retained for purposes of recording re-exports of specimens originating in those places. The ISO list is based on the list included in the United Nations Standard Country or Area Code for Statistical Use established by the Statistical Office of the United Nations. The names of countries, territories or other areas correspond to those given in the United Nations Terminology Bulletin, issued by the Department of Conference Services. Some additional entities are included in the ISO International Standard with a view to providing more complete global coverage. However, the designations do not imply the expression of any opinion whatsoever on the part of the CITES Secretariat or the Secretariat of the United Nations concerning the legal status of any country, territory, city or area, or of its authorities, or concerning the delimitation of its frontiers or boundaries. 320

334 Chapter 18 Records and Reports c) Purpose of trade Purpose codes Code T Z G Q S H P M E N B L Description Commercial Zoo Botanical garden Circus or travelling exhibition Scientific Hunting trophy Personal Medical (including biomedical research) Educational Reintroduction or introduction into the wild Breeding in captivity or artificial propagation Law enforcement / judicial / forensic d) Source of specimens Source codes Code W R D A C F Description Specimens taken from the wild Ranched specimens: specimens of animals reared in a controlled environment, taken as eggs or juveniles from the wild, where they would otherwise have had a very low probability of surviving to adulthood Appendix-I animals bred in captivity for commercial purposes in operations included in the Secretariat's Register, in accordance with Resolution Conf (Rev. CoP15), and Appendix-I plants artificially propagated for commercial purposes, as well as parts and derivatives thereof, exported under the provisions of Article VII, paragraph 4, of the Convention Plants that are artificially propagated in accordance with Resolution Conf (Rev. CoP15), as well as parts and derivatives thereof, exported under the provisions of Article VII, paragraph 5 (specimens of species included in Appendix I that have been propagated artificially for non-commercial purposes and specimens of species included in Appendices II and III) Animals bred in captivity in accordance with Resolution Conf (Rev.), as well as parts and derivatives thereof, exported under the provisions of Article VII, paragraph 5 Animals born in captivity (F1 or subsequent generations) that do not fulfil the 331

335 Chapter 18 Records and Reports Code U I O Description definition of bred in captivity in Resolution Conf (Rev.), as well as parts and derivatives thereof Source unknown (must be justified) Confiscated or seized specimens (may be used with another code) Pre-Convention specimens 6. Submission of annual reports a) Annual reports should be submitted to the Secretariat before 31 October of the year following the year to which they relate. In accordance with Resolution Conf (Rev. CoP14), the Secretariat may approve a valid request from a Party for a reasonable extension of time to the 31 October deadline provided that the Party submits to the Secretariat a written request, containing adequate justification before that deadline. b) Annual reports should be sent either to the offices of the Secretariat in Switzerland or to the UNEP World Conservation Monitoring Centre (UNEP-WCMC), which maintains the computer database of annual report statistics on behalf of the Secretariat. However, if the annual report is sent directly to UNEP-WCMC, a note of transmission of the report must be sent to the Secretariat. Otherwise, the report will not be considered as having been transmitted to the Secretariat in accordance with Article VIII, paragraph 7, of the Convention. The Guidelines contain a number of sample reports, which can be found on pages 18 to 21 of the file on the CITES website: Difficulties in reporting There are many possible reasons for the fact that annual reports are incomplete and that the correlation between export and import figures is poor: a) Article VIII(6)(b) refers to the number and type of permits and certificates granted. Not all permits and certificates, however, are actually used (planned transactions do not take place, permits and certificates expire, etc.). So if the report of an exporting or reexporting country is based on permits and certificates granted, a number of consignments will not appear in the reports of importing countries. It is therefore strongly recommended to base annual reports on actual trade, which in addition provides a better basis for calculating the effects of such trade on the conservation status of wild populations. b) Reporting on actual trade requires that the use of permits and certificates is made known to Management Authorities and that they are further aware of the expiry of doc- 332

336 Chapter 18 Records and Reports uments which have not been used. Internal procedures must provide for a system whereby a copy of used export permits and re-export certificates is returned to the Management Authority by the authorities inspecting the goods at the time of export/reexport, in most cases customs, and holders of permits and certificates must be obliged to return expired documents to the issuing Management Authority. If under such a system used permits and certificates are not returned to the Management Authority, the consequence will be that the export or re-export is not reported, but that the consignments concerned do appear in the reports of importing countries. c) On the importing side the entire reporting system depends on the efficiency of the system providing for the return by customs to the Management Authority of CITES documents. For Appendix-II and -III specimens there is no other document than the permit or certificate issued by the (re-)exporting country and if that document does not reach the Management Authority of the importing country, the consequence for its annual report is obvious. A party whose implementation system requires the prior grant of import permits for all CITES specimens have additional means to obtain complete data on imports. d) Imports may take place on the basis of invalid export or re-export documents which were not identified as such. The detection of such cases is of course essential and therefore the annual reports of importing countries deserve close examination by (re- )exporting countries. e) Correlation is to a certain extent negatively affected by the fact that (re-)exports may take place in one calendar year and imports in the next. In theory the time validity of export permits and re-export certificates of six months may cause the non-correlation of annual reports for (re-)exports that have taken place from 1 July onwards and for imports that have taken place before that date with an increasing likelihood for shipments carried out closer to 1 January. f) Shipments of pre-convention specimens, captive bred/artificially propagated specimens and those between scientific institutions represent a particular problem with regard to annual reports. Pre-Convention, artificial propagation and captive breeding certificates are intended to remain with the specimens concerned and, unlike import and export permits and re-export certificates, not cancelled and retained by the authorities of importing countries. Facilitating annual reporting on trade in artificially propagated plants Trade in artificially propagated Appendix-II plants may take place on the basis of plant health certificates and consignments falling under Article VII.6 cross borders on the basis of a simple label. Unless Parties have adopted specific measures, trade in the above categories of specimens is likely to take place without being reported. Article VII.2 and 5 certificates should be copied when used for export, re-export and import; plant health 333

337 Chapter 18 Records and Reports authorities must provide CITES Management Authorities with information on trade in artificially propagated Appendix II or III specimens on the basis of plant health (phytosanitary) certificates and where registered scientific institutions complete their own labels under Article VII.6, they must provide their Management Authority with the necessary information. Imports by registered scientific institutions under Article VII.6 should likewise be reported. Decision (Rev. CoP15) instructs the Secretariat to, subject to available funding, in consultation with the UNEP World Conservation Monitoring Centre: a) conduct a survey of reporting practices of Parties relating to trade in artificially propagated plants of taxa included in Appendix II, e.g. regarding the degree of completeness and detail; b) identify cases where the compilation of trade data pertaining to artificially propagated plants of taxa included in Appendix II has contributed to a significant extent to the detection of illegal trade or to any other analysis related to the conservation of wild flora; c) taking into consideration the results of paragraphs a) and b) above, analyze the Convention text and Resolutions in order to identify binding and non-binding elements of reporting, with special emphasis on artificially propagated plants of taxa included in Appendix II. The Secretariat shall list options for streamlining such reporting; and d) report on its findings to the Plants Committee prior to its 20th meeting. Decision (Rev. CoP15) instructs the Plants Committee to, after considering the report of the Secretariat: a) determine whether there are any taxa of Appendix-II plants artificially propagated for which detailed reporting is less valuable; and b) report its findings to the Standing Committee at its 62nd meeting. Decision (Rev. CoP15) instructs the Standing Committee to: a) taking into consideration the findings of the Plants Committee, determine whether it is possible to streamline the reporting of trade in artificially propagated Appendix-II plants; and b) report on its findings at the 16th meeting of the Conference of the Parties and submit draft wording to amend Resolutions concerned, where appropriate. 334

338 Chapter 19 - Management and Scientific Authorities Article IX 1. Each Party shall designate for the purpose of the present Convention: (a) one or more management authorities competent to grant permits or certificates on behalf of that Party; and (b) one or more scientific authorities. 2. A State depositing an instrument of ratification, acceptance, approval or accession shall at that time inform the depositary government of the name and address of the Management Authority authorized to communicate with other Parties and with the Secretariat. 3. Any changes in the designations or authorizations under the provisions of this Article shall be communicated by the Party concerned to the Secretariat for transmission to all other Parties. 4. Any Management Authority referred to in paragraph 2 of this Article shall, if so requested by the Secretariat or the Management Authority of another Party, communicate to it impression of stamps, seals or other devices used to authenticate permits or certificates. Management Authorities With Notification 8 of 14 November 1975, the Secretariat requested the Parties to inform it of, for example: - the models of permits and certificates used; - the system of numbering the said permits and certificates; - the names of people authorized to sign permits and certificates; - the specimens of signatures of such people; - the models of labels used for identification of the specimens of species protected by the Convention; - the models of labels used for shipment of specimens; - the list of the ports of entry and exit at which specimens must be presented for clearance; - any changes in earlier communicated information. Resolution Conf. 1.5 (Rev.) stated that direct communications between the Management Authorities are essential and should be established for proper implementation of the

339 Chapter 19 Management and Scientific Authorities Convention. The initial Resolution further recommended that the Secretariat should provide Parties continuously with updated lists of Management Authorities and their authenticating seals. The Secretariat introduced a Directory of names and addresses of Management Authorities and other information in June This and a lot more interesting information can now be found on the Secretariat s website. Resolution Conf (Rev. CoP15) recommends in Section I, paragraph p): That Parties that have not yet done so communicate to the Secretariat the names of the persons empowered to sign permits and certificates, as well as three specimens of their signatures, and that all the Parties communicate, within one month of any change thereto, the names of persons who have been added to the list of those already empowered to sign, the names of persons whose signatures are no longer valid and the dates the changes took effect (from Resolution Conf. 8.5). Scientific Authorities Resolution Conf recalls Resolution Conf. 8.6 (Rev.) and acknowledges that each Party is required, in accordance with Article IX of the Convention, to designate one or more Scientific Authorities. It recognizes that the responsibilities of the Scientific Authority are described in Article III, paragraphs 2(a), 3(a) and (b) and 5(a), and Article IV, paragraphs 2(a), 3 and 6(a), of the Convention and that responsibilities described in other Articles are not assigned to a specific office but require scientific considerations. It recognizes further that these responsibilities are elaborated upon in Resolutions Conf (Rev.), Conf. 8.21, Conf (Rev. CoP15), Conf (Rev. CoP15), Conf (Rev. CoP13), Conf (Rev. CoP15), Conf (Rev. CoP15), Conf (Rev. CoP12), and Conf (Rev. CoP15). It notes the concerns of the Parties indicated in the responses to the Secretariat s questionnaire on the functioning of Scientific Authorities, as reported to the Animals Committee at its 13th meeting (Pruhonice, 1996). The Resolution recalls that Resolution Conf. 8.4 (Rev. CoP15) directs the Secretariat to identify those Parties whose domestic measures do not provide them with the authority to designate at least one Scientific Authority and notes that the Secretariat s reports on alleged infractions have identified several Parties that have not designated Scientific Authorities. It further notes that issuance of permits by a Management Authority without appropriate Scientific Authority findings constitutes a lack of compliance with the provisions of the Convention and seriously undermines species conservation. It recalls that Resolution Conf. 9.5 (Rev. CoP15) recommends that Parties accept documentation from States not party to the Convention only if details of the competent authorities and scientific institutions of such States are included in the most recent updated list of the Secretariat or after consultation with the Secretariat. The Resolution acknowledges the necessity for the Secretariat, members of the Animals and Plants Committees, and Scientific Authorities to be in contact with the appropriate Scientific Authorities of each Party. 336

340 Chapter 19 Management and Scientific Authorities It reminds Parties of Article XIV, paragraph 1, which permits any Party to adopt stricter domestic measures. The Conference of the Parties directs the Secretariat: a) to continue its efforts to identify the Scientific Authorities in each country; b) to continue to identify in its reports on alleged infractions those countries that have not informed the Secretariat of their Scientific Authorities; and c) to continue to provide to all Parties information on the Scientific Authorities or comparable entities of States not party; It recommends that: a) all Parties designate Scientific Authorities independent from Management Authorities; b) Parties not accept export permits from countries that have not informed the Secretariat of their Scientific Authorities for more than one interval between regular meetings of the Conference of the Parties; c) Management Authorities not issue any export or import permit, or certificate of introduction from the sea, for species listed in the Appendices without first obtaining the appropriate Scientific Authority findings or advice; d) Parties enlist the assistance of Scientific Authorities of other Parties, as appropriate; e) neighbouring Parties consider sharing their resources by supporting common scientific institutions to provide the scientific findings required under the Convention; f) the Parties consult with the Secretariat when there is reason for concern as to whether the proper Scientific Authority findings are being made; g) the appropriate Scientific Authority advise on the issuance of export permits or of certificates for introduction from the sea for Appendix-I or -II species, stating whether or not the proposed trade would be detrimental to the survival of the species in question, and that every export permit or certificate of introduction from the sea be covered by Scientific Authority advice; h) the findings and advice of the Scientific Authority of the country of export be based on the scientific review of available information on the population status, distribution, population trend, harvest and other biological and ecological factors, as appropriate, and trade information relating to the species concerned; This paragraph should also refer to the Scientific Authority of the country of introduction from the sea. 337

341 Chapter 19 Management and Scientific Authorities i) the appropriate Scientific Authority of the importing country advise on the issuance of permits for the import of specimens of Appendix-I species, stating whether the import will be for purposes not detrimental to the survival of the species; See page 126. j) the appropriate Scientific Authority monitor the status of native Appendix-II species and export data, and recommend, if necessary, suitable remedial measures to limit the export of specimens in order to maintain each species throughout its range at a level consistent with its role in the ecosystem and well above the level at which the species might become eligible for inclusion in Appendix I; k) the appropriate Scientific Authority either make the findings required on the suitability of the recipient to house and care for live specimens of Appendix-I species being imported or introduced from the sea, or make its recommendations to the Management Authority prior to the latter making such findings and the issuance of permits or certificates; l) the appropriate Scientific Authority provide advice to its Management Authority as to whether or not scientific institutions seeking registration for the purpose of being issued labels for scientific exchange meet the criteria established in Resolution Conf (Rev. CoP12), and other standards or any stricter national requirements; m) the appropriate Scientific Authority review all applications submitted for consideration under Article VII, paragraph 4 or 5, and advise its Management Authority as to whether the facility concerned meets the criteria for producing specimens considered to be bred in captivity or artificially propagated in accordance with the Convention and relevant Resolutions; n) the appropriate Scientific Authority gather and analyze information on the biological status of species affected by trade to assist in the preparation of proposals necessary to amend the Appendices; and o) the appropriate Scientific Authority review proposals to amend the Appendices submitted by other Parties and make recommendations as to how the delegation of its own country should address each proposal; The Conference of the Parties encourages the Parties, the Secretariat and interested non-governmental organizations to develop and support workshops/seminars designed specifically to improve the implementation of CITES by Scientific Authorities. 338

342 Chapter 20 - Trade with States not Party to the Convention Article X Where export or re-export is to, or import is from, a State not a Party to the present Convention, comparable documentation issued by the competent authorities in that State which substantially conforms with the requirements of the present Convention for permits and certificates may be accepted in lieu thereof by any Party. Introduction The negative implications of the, unavoidable, co-existence of Parties and non-parties for the functioning of the trade mechanisms of the Convention have regularly occupied the Conference of the Parties. Back in 1976, it was recommended that Parties should apply Article X so that all trade in listed fauna and flora from non-parties required equivalent documentation to that required of Parties to the Convention (Resolution Conf. 1.5). Of course at the time there were only 30 CITES Parties, which made the issue a lot more important than it is today with at the time of writing 175 Parties. All major wildlife trading countries are Parties to the Convention. The Conference of the Parties then also recognized that the Convention covered the entire world s wildlife including that occurring in the high seas and that such wildlife knew no political boundaries. It stated that the ultimate effectiveness of the Convention depended on its universal application and that the spirit of universality prevailed at the 1973 Plenipotentiary Conference. States that were not participating fully were urged to ratify or accede to the Convention at their earliest possible opportunity and, until they became Parties, to act in the spirit of the Convention (Resolution Conf. 1.9). The 2000 Strategic Vision included the goal to secure at least 20 more Parties by This target was achieved with the Republic of Cape Verde becoming the 169th Party in November Recommendations In 1994, the Conference of the Parties combined the recommendations of two earlier Resolutions (Resolutions Conf. 3.8 and Conf. 8.8). Since then further amendments took place.

343 Chapter 20 Trade with States not Party to the Convention Current Resolution Conf. 9.5 (rev. CoP 15) recalls the provisions of Article X of the Convention, permitting acceptance of comparable documentation issued by the competent authorities of States not party to the Convention and considers the need to provide guidance to Parties for the uniform implementation of Article X of the Convention. It considers further the need to keep States not party to the Convention informed of its progressive implementation, to enable them to express their views regarding trade with the Parties, and to promote wider participation in the Convention. It considers that Article IV, paragraph 2, of the Convention requires a Scientific Authority of the State of export to have advised that an export will not be detrimental to the survival of the species concerned before an export permit may be issued. The Conference of the Parties states that trade from and through States not party to the Convention risks jeopardizing the effectiveness of the Convention and that illegal trade, in particular in Appendix-I species, appears to avoid States that are party to the Convention and seeks trade routes to, from and through States not party to the Convention. It recalls Resolution Conf. 9.7 (Rev. CoP15), recommending that valid documentation be required for transit shipments and notes that control of transit shipments in particular appears to produce substantial information on illegal trade in CITES specimens. It recognizes the possibility for Parties to impose more restrictive domestic controls on trade under Article XIV. The Conference of the Parties expresses its conviction of the need to counteract illegal trade by tightening the conditions applying to trade with States not party to the Convention and recommends that: a) permits and certificates issued by States not party to the Convention not be accepted by Parties unless they contain: 340 i) the name, stamp and signature of a competent issuing authority; ii) sufficient identification of the species concerned for the purposes of the Convention; iii) certification of the origin of the specimen concerned, including the export permit number from the country of origin, or justification for omitting such certification; iv) in the case of export of specimens of a species included in Appendix I or II, certification to the effect that the competent scientific institution has advised that the export will not be detrimental to the survival of the species (in case of doubt a copy of such advice should be required) and that the specimens were not obtained in contravention of the laws of the State of export; v) in the case of re-export, certification to the effect that the competent authority of the country of origin has issued an export document that substantially meets the requirements of Article VI of the Convention; and vi) in the case of export or re-export of live specimens, certification to the effect that they will be transported in a manner that will minimize the risk of injury, damage to health or cruel treatment;

344 Chapter 20 Trade with States not Party to the Convention b) Parties accept documentation from States not party to the Convention only if the details of the competent authorities and scientific institutions of such States that are included in the online CITES Directory were communicated less than two years previously, unless the Secretariat confirms that it has more recent information; c) the recommendations above also apply to specimens in transit destined for or coming from States not party to the Convention, including specimens in transit between such States; d) particular attention be given to the inspection of specimens in transit exported or reexported from, or destined for States not party to the Convention and to the inspection of documentation for such specimens; e) Parties authorize import from and export or re-export to States not party to the Convention of specimens of wild origin of Appendix-I species only in special cases where it benefits the conservation of the species or provides for the welfare of the specimens, and only after consultation with the Secretariat; f) Parties allow import from States not party to the Convention of captive-bred and artificially propagated specimens of Appendix-I species only after favourable advice from the Secretariat; and The limitation to Appendix I species is at odds with the agreement in Resolution Conf (Rev. CoP15), applying to all Appendices, that comparable documentation granted in accordance with the Convention with regard to captive bred specimens by States that are not Parties to the Convention shall not be accepted without prior consultation with the Secretariat. g) Parties communicate to the Secretariat any inconsistencies in trade involving States not party to the Convention; The Conference of the Parties instructs the Secretariat to seek, every two years, information on, and to include in its Directory, details of the designated competent authorities, scientific institutions and enforcement authorities of non-party States that were communicated by these States, together with the date on which the details were received. Elephant specimens and non-parties Resolution Conf (Rev. CoP15) on trade in elephant specimens contains the following recommendation with regard to non-parties: i) Parties may accept raw ivory from a producer non-party State only if a quota for that State has been reviewed by the Secretariat and communicated to the Parties and if the Secretariat has received from the State an annual report on its ivory trade, and if the State meets all the other conditions in this Resolution and Article X of the Convention (as 341

345 Chapter 20 Trade with States not Party to the Convention interpreted by Resolutions of the Conference of the Parties) (reworded from Resolution Conf. 9.16); j) in compiling their annual reports, producer party and non-party States that have authorized the export of raw ivory relate such exports to their quota for any given year, providing the Secretariat with as much relevant information as possible, including, as a minimum, the number of whole or substantially whole tusks and their individual weights and identification numbers (from Resolution Conf. 9.16). Ranching and trade with non-parties Resolution Conf (from Resolution Conf. 5.16) recognized that if adequate protection was to be provided for both ranched and other populations, trade with non- Party countries must be discouraged and referred to the possibility of imposing more restrictive domestic controls upon trade in specimens of listed populations under Article XIV. On that basis it recommended that Parties do not export or re-export a product unit of a ranched population to a non-party or a reserving Party, nor accept an import of a product unit of a ranched population from such states. The practicability of these recommendations was always doubtful as has the underlying idea that non-parties are per definition sources of illegal trade. Where a non-party complies with the documentation requirements of Article X and with the conditions for trade in ranched specimens, there does not appear to be a valid reason for the recommended boycott. A similar provision with regard to trade in quota species was proposed but rejected because of its possible negative implications for developing countries and their trade position vis-à-vis other countries. The group that drafted Resolution Conf arrived at the same conclusion. Doubts about the usefulness and legality of recommendation j) of Resolution Conf led to the adoption of Resolution Conf which requested that the Secretariat seek legal advice from the IUCN Environmental Law Centre on the requirements of Resolution Conf. 5.16, paragraph j), as they relate to the provisions of the Convention. The IUCN Environmental Law Centre advised that the recommendation concerned posed no problem under international law. That, however, did not answer the question about the appropriateness of the recommendation. The recommendation is no longer contained in Resolution Conf (Rev. CoP15), which has now replaced Resolution Conf

346 Chapter 21 - The Conference of the Parties Meetings of the Conference of the Parties Article XI, paragraphs 1 and 2 The Secretariat shall call a meeting of the conference of the Parties not later than two years after the entry into force of the present Convention. This first meeting of the Conference of the Parties took place from 2 to 6 November 1976 in Bern, Switzerland. Thereafter the Secretariat shall convene regular meetings at least once every two years, unless the conference decides otherwise and extraordinary meetings at any time on the written request of at least one-third of the parties. Regular meetings A special working session of the Conference of the Parties took place in 1977 and regular meetings were held in 1979, 1981, 1983, 1985, 1987, 1989, 1992, 1994, 1997, 2000, 2002, 2004, 2007 and 2010.

347 Chapter 21 The Conference of the Parties Meetings of the Conference of the Parties are commonly referred to as CoP, CoP 15 for example. In this book I mostly use the full title and sometimes the more popular abbreviation. For Resolutions and Decisions in force since CoP 15, see the Index of Valid Resolutions and the Index of Valid Decisions at the end of this book. The 16 th meeting of the Conference of the Parties will take place in 2013 and for the second time in Thailand. For venues, dates and figures on participation in the first fifteen meetings of the Conference of the Parties see Annex 3, page 801. The 12th meeting of the Conference of the Parties decided that, for budgetary reasons, meetings of the Conference of the Parties shall take place only every three years. With Resolution Conf it was agreed that all meetings of the Conference of the Parties and all regular meetings of the Standing Committee should be held in Geneva unless a candidate host country pays the difference in costs between its proposed venue and Geneva. This provision is now contained in Resolution Conf Extraordinary meetings The first extraordinary meeting was held in Bonn (22 June 1979), where the Conference of the Parties adopted the financial amendment to Article XI.3 (a). The second extraordinary meeting took place in Gaborone, Botswana, on 30 April 1983, at which the Conference adopted an amendment to Article XXI regulating the accession to the Convention by regional economic integration organizations. At the next extraordinary meeting, the identified mistakes in the text of the Convention must be repaired. These are listed in Resolution Conf. 4.6 (Rev. CoP15), which directs the Secretariat to put the following proposals on the agenda of the next extraordinary meeting of the Con- 344

348 Chapter 21 The Conference of the Parties ference of the Parties, whenever this may be convened, as amendments to the Convention: a) the provisions of Article XVI, regarding the listing of Appendix-III parts and derivatives, should be brought into line with Convention procedures for Appendices I and II (Article XV); b) paragraph 5 of Article XIV should read: Notwithstanding the provisions of Article IV, any export of a specimen etc.; c) paragraphs 3 (b) and 5 (b) of Article III should include either a Management Authority or a Scientific Authority of the State etc.; and d) correction of errors of an orthographical nature discovered in the text of the Convention. Tasks of the Conference of the Parties Article XI, paragraph 3 At meetings, whether regular or extraordinary, the Parties shall review the implementation of the present Convention and may: Article XI.3, paragraph (a) make such provisions as may be necessary to enable the Secretariat to carry out its duties, and adopt financial provisions; The words 'and adopt financial provisions' were added at the first extraordinary meeting of the Conference of the Parties on 22 June 1979 and are known as the Bonn amendment or the financial amendment. Article XI.3, paragraph (b) consider and adopt amendments to Appendices I and II in accordance with Article XV; Article XI.3, paragraph (c) review the progress made towards the restoration and conservation of the species included in Appendices I, II and III; Other than in the context of amendments to the Appendices, there has not really been a review of the progress made towards the restoration and conservation of species in the more general way provided for in subparagraph (c). 345

349 Chapter 21 The Conference of the Parties Of course, the downlisting of species or their delisting may be a confirmation of the fact that its conservation status has improved. It may, however, also mean that the species should not have been listed in a particular Appendix in the first place. The knowledge of the conservation status of most species included in the Appendices and of the effects of exploitation thereon is very limited. The effects of international trade in specimens of species are in addition difficult to estimate because of the many difficulties related to the preparation of annual reports and their subsequent analysis. As long as such basic information is lacking, a general review as implied in subparagraph (c) will remain difficult to carry out. Article XI.3, paragraph (d) receive and consider any reports presented by the Secretariat or by any Party; The Secretariat can and does report on any matter relevant to the implementation of the Convention, e.g. in compliance with Article XII (2) (g). Reports by Parties are mainly the annual reports on trade and the biennial reports on legislative, regulatory and administrative measures under Article VIII (7). Article XI.3, paragraph (e) where appropriate, make recommendations for improving the effectiveness of the present Convention. This function, together with that concerning amendments to the Appendices, represents the bulk of the work of the meetings of the Conference of the Parties. The Convention does not indicate what form the recommendations referred to in paragraph (e) have to take. From CoP1, however, recommendations of the Conference of the Parties have been laid down in Resolutions and from a later date Decisions. Also see page 350. Regional sessions at meetings of the Conference of the Parties With Resolution Conf (Rev. CoP13) the Conference of the Parties establishes the character and tasks of regional sessions during meetings of the Conference of the Parties (from Decision 10.3): It agrees that: a) the regional sessions have an official character and should have an agenda. Proceedings should be prepared concerning the proposals and agreements dealt with; b) the Chair of each regional session should be the representative of a regional member of the Standing Committee; and c) each region has specific tasks to fulfil, as follows: 346

350 Chapter 21 The Conference of the Parties i) selection, if appropriate, of members and alternate members of the Standing Committee, which are Parties; ii) selection of the members and alternate members of the Animals and Plants Committees. In accordance with Annex 2 of this Resolution (i.e. Conf (Rev. CoP13), the members and alternate members of the Animals and Plants Committees are persons. The persons to be chosen should be experts in animals or plants in general and with regard to the region they are representing in particular; iii) the regions with more than one member should decide the way the representation should be exercised until the next meeting of the Conference. This should be reviewed at each meeting; and iv) other tasks depending to a large extent on the agenda of the meeting of the Conference of the Parties. The regional representatives, perhaps with the help of their alternates, should establish the agenda of the session before the session. This agenda should cover the points mentioned in subparagraphs i) and ii) and provide for discussion of the main items of the agenda of the meeting to be considered by the Conference of the Parties, at plenary sessions or at sessions of Committees I and II, in particular those of special interest to the region concerned. In the section on the duties of regional representatives, the Resolution resolves: c) the regional representatives should report in detail on their activities, initiatives and achievements at the regional sessions that are taking place during meetings of the Conference of the Parties. The Parties may make comments on these reports, which should be included in the proceedings. Dialogue meetings In 2007, the Conference of the Parties adopted Rules of Procedure of CITES dialogue meetings, which had been held without proper rules since 1996 to examine proposals to amend the Appendices in relation to the Hawksbill turtle and since 2001 in relation to proposals in relation to the African elephant. Resolution Conf on Dialogue meetings notes that dialogue meetings provide the opportunity for the representatives of States to express their concerns, to share information, to exchange views frankly and freely, without the pressures that exist on delegations during meetings of the Conference of the Parties, and to seek ways forward. It considers that the results of a dialogue meeting may include, amongst other things, agreement on a position regarding a proposal for amendment of the CITES Appendices submitted to the Conference of the Parties. It recognizes that terms of reference and rules of procedure are an essential requirement to standardize the organization and conduct of such meetings. 347

351 Chapter 21 The Conference of the Parties The Conference of the Parties therefore decides to establish dialogue meetings as a formal series of CITES meetings and agrees that dialogue meetings are consultative meetings between range States of a certain species or group of species, with the aim of seeking consensus in relation to a proposal submitted for amendment of the CITES Appendices when there are strong divisions between those States; It further agrees that: a) a dialogue meeting may be called for either by the Conference of the Parties or by the Standing Committee; b) if, following the discussion of, amongst other things, a proposal to amend the Appendices, the Conference of the Parties believes that there is a need for an exchange of views between range States of the species, it may instruct the Secretariat that, if it receives a further amendment proposal relating to the same species, it should organize a dialogue meeting of the range States. In this case, the Conference of the Parties should preferably allocate funds for such a meeting. Otherwise, the holding of such a meeting will be subject to the availability of external funding; c) if a Party intends to submit, amongst other things, a proposal to amend the Appendices and, as a result of seeking the comments of the other range States, becomes aware that there is a need for an exchange of views between them, it may ask the Standing Committee to instruct the Secretariat to organize a dialogue meeting, subject to the availability of external funding; and d) when the Conference of the Parties or the Standing Committee calls a CITES dialogue meeting for a species, they should consider whether it is necessary for the range States of related species to be invited as observers; and The Conference of the Parties adopts the rules of procedure for CITES dialogue meetings in the Annex to the Resolution: Rules of procedure of CITES dialogue meetings Representation Annex 1. Each Party that is a range State of an extant population of the species (or group of species) to be discussed shall be entitled to be represented at a dialogue meeting by a representative and an alternate representative, who shall be government officials designated to attend by the Management Authority of the Party that they represent. 2. Other Parties and organizations (including donors) may be represented by observers only if their attendance is approved by a consensus of the representatives of the range States. 348

352 Chapter 21 The Conference of the Parties 3. The CITES Secretariat shall participate in dialogue meetings in order to advise the Parties and to serve as Secretary and organizer of the meeting. 4. The Secretariat shall be responsible for inviting the range States to send representatives to a dialogue meeting. 5. Following the recommendations of the range States, the Secretariat may invite intergovernmental organizations and other technical experts to attend a meeting as resource persons. Meetings 6. CITES dialogue meetings are convened and organized by the CITES Secretariat on behalf of the Parties. At least two-thirds of the representatives of the range States of the species shall constitute a quorum. 7. When the Conference of the Parties or the Standing Committee has instructed the Secretariat to organize a dialogue meeting, it shall seek a host country for the meeting from among the range States and, if there is more than one offer, select a host country in consultation with the Chairman of the Standing Committee and, where applicable, the relevant regional representatives in the Committee. The host country is usually expected to cover the cost of rental of the meeting rooms and refreshments for the participants and to work with the Secretariat in the organization of the meeting. 8. If funds have not been allocated in the Trust Fund budget, the Secretariat shall seek sufficient funds to cover the attendance of at least one representative of each Party range State of the species concerned coming from developing countries or countries with economies in transition. 9. Dialogue meetings should, as far as possible, take place well in advance of meetings of the Conference of the Parties so that the outcomes may be used by the Parties when considering their positions in preparation for such meetings. However, sometimes, for reasons of financial constraints, it is necessary to hold a dialogue meeting immediately before a meeting of the Conference of the Parties. In such cases, the Host Country of the meeting of the Conference is not expected to serve as the host for the dialogue meeting. 10. The provisional agenda for each dialogue meeting should be prepared at least 60 days in advance by the Chairman of the Standing Committee with the assistance of the Secretariat, following consultation with the range States of the species concerned. The Secretariat is responsible for distributing the provisional agenda to all range States at least 45 days before the meeting. Chairman 11. The Chairman of the Standing Committee shall serve as the Chairman of each CITES dialogue meeting. If he/she is unable to serve, he/she should appoint the Vice-Chairman 349

353 Chapter 21 The Conference of the Parties or Alternate Vice-Chairman of the Standing Committee to serve in his/her place or identify a Chairman who is acceptable to the range States. Vice-Chairmen 12. Two Vice-Chairmen for each meeting shall be elected from among the participants. Decisions 13. All decisions of dialogue meetings shall be made by the representatives of the range States. In the absence of a representative, the alternate representative shall for all purposes serve in his/her place. 14. Decisions shall as far as possible be made by consensus. Where this is not possible, this should be indicated in the final communiqué of the meeting, which may indicate majority and minority views. Communications 15. No record shall be kept of the discussions that take place at dialogue meetings and they shall be considered as confidential. Consequently, participants shall not communicate with the media or with organizations that are not participating, or have not participated, in a dialogue meeting concerning the statements made by other participants. 16. A communiqué from each meeting shall be drafted by the Secretary in consultation with the Chairman and Vice-Chairmen, and shall be presented to the representatives of the range States for agreement. Such communiqué, if agreed, shall serve as the official record of the outcome of the meeting, and shall be made available in the three working languages of the Convention. Communiqués shall be formally presented at the following meeting of the Conference of the Parties. Final provisions 17. In matters not covered by the present Rules, the Rules of Procedure of the Standing Committee that are currently in effect shall apply as far as practicable. Resolutions, recommendations and decisions Until the ninth meeting of the Conference of the Parties, recommendations were only laid down in the form of Resolutions, but certain decisions could with difficulty - be found in the Proceedings of the meetings. The ninth meeting of the Conference of the Parties therefore adopted Decision 9.28, which provided for the compilation of Decisions made by the Conference of the Parties and recorded in the Proceedings of the meetings of the Conference. The layout out this document was changed at the 12th meeting of the Conference of the Parties with Decision

354 Chapter 21 The Conference of the Parties The subject is now included in Resolution Conf. 4.6 (Rev. CoP15), which directs the Secretariat: a) when revising its publication of current Resolutions after each meeting of the Conference of the Parties, to correct the texts of already existing Resolutions to ensure that all references to other Resolutions are accurate; b) to update the Decisions after each meeting of the Conference of the Parties, to contain all the recommendations (or other forms of decision) that are not recorded in Resolutions and that remain in effect. The Decisions shall be sorted according to subject, using the subjects of the Resolutions for guidance, and within the section for each subject they shall be divided according to the body to which they are directed. The Secretariat shall distribute to the Parties a copy of the updated Decisions soon after each meeting of the Conference; and c) when revising the list of current Decisions for the purpose of suggesting amendments, deletions or continuity, the Secretariat shall provide justification of any proposed changes to a Decision at each meeting of the Conference of the Parties; This paragraph was added at CoP15. DECIDES that any draft resolutions or decisions submitted for consideration at a meeting of the Conference of the Parties that have budgetary and workload implications for the Secretariat or permanent committees must contain or be accompanied by a budget for the work involved and an indication of the source of funding; and DECIDES further that the recommendations contained in Resolutions and Decisions adopted by the Conference of the Parties shall enter into effect 90 days after the meeting at which they are adopted, unless otherwise specified in the recommendation concerned. Decision directs the Standing Committee to review any proposals from the Secretariat to correct non-substantive errors or minor editorial faults in current Resolutions and decide whether they should be referred to the Conference of the Parties. In cases where the Committee agrees with the proposals and considers that they need not be referred to the Conference, it may instruct the Secretariat to republish the Resolutions with the necessary corrections. Proposals Resolution Conf. 4.6 (Rev. CoP15) contains important decisions about the content of proposals and the deadlines for their submission: The Conference of the Parties agrees that that the term the text of the proposed amendment in Article XV, paragraph 1, of the Convention includes the substantially complete supporting statement accompanying it, and this interpretation is extended to 351

355 Chapter 21 The Conference of the Parties draft resolutions and other documents submitted for consideration at meetings of the Conference of the Parties. It recommends that: a) the text of any draft resolution or other document to be submitted for consideration at a meeting of the Conference of the Parties be communicated to the Secretariat at least 150 days before the meeting; b) the Secretariat be authorized to accept draft resolutions and documents (other than proposals for amendment of Appendices I and II) after the 150-day deadline only in exceptional circumstances, when it is established, to the satisfaction of the Secretariat, that the draft resolutions or documents could not have been communicated before the deadline; c) when drafting a resolution that is intended to treat a subject comprehensively, or to make significant changes in the way in which a subject is dealt with, a Party prepare the draft so that, if adopted, it will replace and repeal all existing Resolutions (or, as appropriate, the relevant paragraphs) on the same subject; d) when drafting resolutions and decisions which require the gathering of information, a Party consider whether such information could be sought via the annual or biennial report, or if a special report is needed, and generally ensure that the reporting burden is kept to a minimum; e) unless practical considerations dictate otherwise, draft resolutions not include: i) instructions or requests to committees, working groups or the Secretariat, unless they are part of a long-term procedure; ii) decisions on the presentation of the Appendices; and iii) recommendations (or other forms of decision) that will be implemented soon after their adoption and will then be obsolete; f) as a general rule, documents submitted for consideration at a meeting of the Conference of the Parties be no more than 12 pages in length; and g) when a draft resolution is adopted that merely adds points to the recommendations (or other decisions) in existing Resolutions, or makes minor amendment thereto, the existing Resolutions be replaced by revised versions with the agreed changes. Adoption The Rules of Procedure adopted for every meeting of the Conference of the Parties provided until the fifth meeting of the Conference of the Parties in 1985 that Resolutions were adopted by a simple majority of the Parties present and voting. 352

356 Chapter 21 The Conference of the Parties The Conference adopted 111 Resolutions until then and although most of these recommendations indeed contributed to an improved effectiveness of the Convention, their number also complicated proper implementation. The Rules of Procedure from the sixth meeting of the Conference of the Parties onwards provide that the adoption of resolutions shall take place by a two-thirds majority. The aim is to not only reduce the number of future Resolutions but also to guarantee better implementation of Resolutions adopted by such a majority. Entry into effect Resolution Conf. 4.6 (Rev. CoP15) provides that the recommendations contained in Resolutions and Decisions adopted by the Conference of the Parties shall enter into effect 90 days after the meeting at which they are adopted, unless otherwise specified in the recommendation concerned. As Resolutions and Decisions are non-binding soft law, their implementation by the individual Parties is subject to their decision to transpose them into national law or not. The time and venue of CoPs Article XI, paragraph 4 At each regular meeting, the Parties may determine the time and venue of the next regular meeting to be held in accordance with the provisions of paragraph 2 of this Article. Until the fifth meeting of the Conference of the Parties the determination of the venue of the next meeting was rather easy. An unwritten rule that meetings had to rotate in all the continents was followed; one country from the next continent offered to host the next meeting and the decision was taken. The advantage of holding meetings in turn in different continents is that it stimulates regional participation as well as media and public interest for the meeting and for wildlife conservation. At the fifth and subsequent meetings there were several candidates from different continents to host the next meeting and the host country had to be elected by secret ballot. A problem arose between the sixth and seventh meeting and before the eleventh when the elected host country withdrew its offer. The Secretariat did not find another Party to host the meeting. The seventh meeting was eventually hosted by the Secretariat itself in Lausanne with substantial financial assistance from Switzerland. The eleventh meeting was hosted by the Secretariat in and with important logistical support of - the UNEP headquarters in Gigiri (Nairobi, Kenya), in March

357 Chapter 21 The Conference of the Parties Rules of Procedure for meetings of the Conference of the Parties Article XI, paragraph 5 At any meeting, the Parties may determine and adopt rules of procedure for the meeting. These Rules of Procedure are in Annex 1, page 777. Observers Article XI, paragraphs 6 and 7 6. The United Nations, its specialized agencies and the International Atomic Energy Agency, as well as any State not Party to the present Convention, may be represented at meetings of the conference by observers, who shall have the right to participate but not to vote. 7. Any body or agency technically qualified in protection, conservation or management of wild fauna and flora, in the following categories, which has informed the Secretariat of its desire to be represented at meetings of the conference by observers, shall be admitted unless at least one-third of the Parties present object: (a) international agencies or bodies, either governmental or nongovernmental, and national governmental agencies and bodies; and (b) national non-governmental agencies or bodies which have been approved for this purpose by the State in which they are located. Once admitted, these observers shall have the right to participate but not to vote. This right to participate was, for the first time with Resolution Conf. 3.2, linked to a participation fee of US $ 50 to be paid by all observer organizations referred to in Article XI (7) (a) and (b) at the time of registration, except as otherwise reduced by the Standing Committee as required. Resolution Conf. 4.3 confirms this decision, but with Resolution Conf. 5.1 the standard participation charge was increased to a minimum of US $ 100 (except as otherwise reduced by the Standing Committee as required) and the observer organizations concerned were urged to make a greater contribution if possible. With Resolution Conf. 6.2 the minimum was increased to US $ 150, which was maintained with Resolution Conf The latter Resolution allows the Secretariat to decide on another amount as required. With Resolution Conf. 8.1, which no longer officially expressed budgets in US Dollars, the charge was set at CHF 250 and with Resolution Conf. 9.2 at CHF 500. Resolution Conf increased the contribution to CHF 600. With Resolution Conf. 12.1, when the budget was again in US dollars, changed the amount changed into US$ 600, which was maintained with Resolutions Conf. 13.1, 14.1 and Resolution Conf

358 Chapter 21 The Conference of the Parties Resolution Conf contains all other decisions that have been in force since the eleventh meeting of the Conference of the Parties on the participation of observers in meetings of the Conference of the Parties: With Resolution Conf. 13.8, the Conference of the Parties recalls Decisions 11.14, 11.70, 11.71, 11.73, and to and decides that any body or agency that informs the Secretariat of its desire to be represented at a meeting of the Conference of the Parties and that wishes to be considered as an international agency or body in accordance with Article XI, paragraph 7 (a), should be registered by the Secretariat only if it demonstrates, to the satisfaction of the Secretariat that it is: a) qualified in protection, conservation or management of wild fauna and flora; and b) an organization in its own right, with a legal persona and an international character, remit and programme of activities; It instructs the Secretariat to apply Rule 3, paragraph 5, of the Rules of the Procedure for meetings of the Conference of the Parties such that it may not accept any additional names of observers of bodies and agencies (other than the United Nations and its Specialized Agencies) after the six-week deadline, and that it may not accept any changes in the names after this deadline except where a body or agency has registered no more than two observers before the deadline and the Secretariat is satisfied that the person whose name is to be replaced is prevented from attending through force majeure; It recommends that: a) in selecting venues for meetings of the Conference of the Parties, the Parties make every effort to ensure that these have space for observers on the floors of the halls for the plenary sessions, Committee I and Committee II; and b) the Secretariat and the host country of each meeting of the Conference of the Parties make every effort to ensure that each approved observer is provided with at least one seat on the floor in the meeting rooms of the plenary sessions, Committee I and Committee II, unless one-third of the Party representatives present and voting object; It instructs the Presiding Officers at plenary sessions and sessions of Committee I and Committee II: a) to make every effort to allow observers time in the sessions to make interventions; they may give them a time limit for speaking if necessary and encourage them not to be redundant in speaking on a particular issue; and b) when possible, to invite knowledgeable observers to participate in working groups of Committee I and Committee II; and 355

359 Chapter 21 The Conference of the Parties It instructs the Secretariat: a) to make every effort to ensure that informative documents on the conservation and utilization of natural resources, prepared by observers for distribution at a meeting of the Conference of the Parties are distributed to the participants in the meeting; and b) not to provide sponsorship through the Sponsored Delegates Project to any representative of a Party at a meeting of the Conference of the Parties who is also an observer for a non-governmental organization. 356

360 Chapter 22 - Financing of the Convention and the Secretariat Article XI.3 At meetings, whether regular or extraordinary, the Parties shall review the implementation of the present Convention and may: Article XI.3, paragraph (a) make such provisions as may be necessary to enable the Secretariat to carry out its duties, and adopt financial provisions; The words 'and adopt financial provisions' were added at the first extraordinary meeting of the Conference of the Parties on 22 June 1979 and are known as the Bonn amendment or the financial amendment. This amendment entered into force on 13 April 1987 in accordance with Article XVII.3 and Resolution Conf. 4.27, i.e. after acceptance by 2/3rd of the 51 countries that were Parties at the time of its adoption. By the end of October 2010, it had been accepted by 141 out of the then 175 Parties. For details please visit the CITES website. The history of the Secretariat s budget On 1 March 1978 the Executive Director of UNEP wrote to the Parties stressing the catalytic role of the Fund of UNEP, but proposed to come to an agreed cost-sharing arrangement which was to include direct financial support by the Parties for the operation of the Secretariat and the convening of meetings of the Conference of the Parties. On 24 May 1978 the UNEP Governing Council adopted Resolution 6/5 D which requested that a contribution from the Environment Fund be made to the budget of the Secretariat for and that the costs of the second meeting, and of no subsequent meetings, of the Conference of the Parties should be met by contributions from the Environment Fund. The Governing Council called upon the Conference of the Parties, in cooperation with the Executive Director of UNEP, to establish at its second meeting an arrangement for sharing the administrative costs of the Secretariat and for the gradual reduction and cessation at the earliest possible date, and no later than the end of 1983,

361 Chapter 22 Financing of the Convention and the Secretariat of Fund contributions to such costs. The Parties were invited to submit proposals to UNEP from time to time for research and other projects, which would assist in the effective implementation of the Convention. The situation was discussed by the second meeting of the Conference of the Parties in March It was agreed that an extraordinary meeting of the Conference of the Parties be convened for the adoption of an amendment to Article XI which would provide a legal basis for contributions by the Parties. That meeting took place in parallel with the plenipotentiary conference in Bonn (June 1979), which adopted the Migratory Species Convention. The amendment concerned entered into force on 13 April For the period between the cessation of contributions from the UNEP Environment Fund and the entry into force of the amendment to Article XI, an interim financing mechanism had to be found. UNEP agreed to participate in the establishment and administration of a trust fund arrangement, which was thought to be the most appropriate approach. Resolution Conf. 2.1, which was adopted by consensus, requested the establishment by the Executive Director of UNEP of a Trust Fund, which was to provide financial support for the aims of the Convention in accordance with the adopted terms of reference for the administration thereof. The Governing Council of UNEP confirmed in May 1979 (decision 7/14 E) that the regular funding by UNEP would cease after 1983 and that the funding of the Secretariat and of meetings of the Conference of the Parties would be the sole responsibility of the Parties. The United Nations Controller, on behalf of the Secretary General of the United Nations, established in September 1979 the Trust Fund for the Convention on International Trade in Endangered Species of Wild Fauna and Flora. Resolution Conf. 3.2 requested that the Trust Fund continued to provide financial support in accordance with the (adapted) Terms of Reference and emphasized to the Parties the importance of making their contributions to the Trust Fund promptly by the beginning of the respective calendar year or financial period to which the contributions apply or, if this is not possible, as soon thereafter as possible. The Resolution urged all Parties who had not yet done so to deposit an instrument of acceptance of the amendment to Article XI(3)(a). It invited non-party States, governmental, inter-governmental and non-governmental organizations to consider contributing to the Trust Fund. The Resolution introduced a registration fee of $ 50 for observers. Resolution Conf. 4.3 requested UNEP to continue the Trust Fund and adapted its Terms of Reference. It again emphasized the importance of Parties making timely contributions and ratifying the financial amendment. It also repeated the invitation to other sources and the decision about the registration costs for observers of Resolution Conf In July 1984 the Standing Committee discussed the relationship between UNEP, the IUCN and CITES and outlined its resulting recommendation in a letter to the Executive 358

362 Chapter 22 Financing of the Convention and the Secretariat Director of UNEP. The Standing Committee had identified shortcomings in the arrangements not only with regard to finances but also in relation to administration, accommodation, staff relationship and associated matters. It was of the opinion that the arrangements were no longer appropriate in the situation where the Parties were themselves providing the funds for the conduct of business and where the Convention represented a substantial proportion of the governments of the world, not all of which were members of the IUCN. It advised that UNEP should establish more direct and efficient operation of the CITES account as soon as possible and that the most logical arrangement was direct control by the Secretary General under financial supervision of the Executive Director of UNEP and within the budgetary and financial decisions taken by the Parties. In order to alleviate current and potential difficulties involving space, cost sharing and other facilities, the CITES Secretariat was thought to have to be moved to another location within Switzerland, preferably in or near Gland to facilitate technical and professional association with IUCN. In order to ensure smooth implementation and continuity of programs it was recommended that the Secretariat staff members be taken over as a functional unit by UNEP. In response, the Executive Director of UNEP expressed his regret that the Parties felt that the provision of the Secretariat services by IUCN was no longer appropriate, but agreed that under the circumstances the only practical alternative was indeed to take a more direct control of the Secretariat and to establish it within UNEP. He also accepted the recommendation with regard to the separate location of the Secretariat but stressed that the technical association with IUCN should not be lost. Resolution Conf. 5.1 recognized that, in line with the 1979 decision by UNEP, its regular funding ceased after 1983 and that the Parties were now solely responsible for the funding of the Secretariat and of meetings of the Conference of the Parties. It acknowledged the support provided to the Secretariat by UNEP with the assistance of IUCN and recognized the continuing need for administrative and financial arrangements between the Parties and the Executive Director of UNEP. It requested that the Executive Director of UNEP, with the approval of the Governing Council of UNEP, seek the consent of the United Nations Secretary General for an extension of the Trust Fund until 31 December 1987 and adapted the Terms of Reference. The Conference of the Parties agreed that the financial structure, which included the budget, the medium term plan, the scale of contributions and the Terms of Reference for the Administration of the Trust Fund should be maintained after the coming into force of the amendment to Article XI(3)(a). It urged all Parties to pay their contribution to the Trust Fund in accordance with the agreed scale as in Table 1 attached to the Resolution, requested the Parties to pay as far as possible at the beginning of each year and appealed strongly to those Parties which, for legal or other reasons, had not so far been able to contribute towards the Trust Fund, to consider making voluntary contributions pending the acceptance of the financial amendment to Article XI(3)(a). It repeated the appeal to Parties to ratify the amendment and the invitation to other sources to contribute. 359

363 Chapter 22 Financing of the Convention and the Secretariat With Resolution Conf. 6.2 the Conference of the Parties approved the 1985 accounts and took note of the provisional accounts for 1986 and the estimates of expenditure for It further approved the budgets and took note of the medium term budget estimates. It approved the Secretariat report. Resolution Conf. 7.2 acknowledged with appreciation the support provided to the Secretariat by the Executive Director of UNEP, which had provided, as an interim measure, direct financial assistance to cover the shortage in financial resources in 1987 and the first half of The Conference of the Parties approved the 1987 and 1988 accounts and took note of the estimates of expenditure for It approved the budgets and took note of the medium term budget estimates. It approved the Secretariat report. The Executive Director of UNEP was requested to, with the approval of the Governing Council of UNEP, seek the consent of the United Nations Secretary General for an extension of the Trust Fund until 31 December 1995 to provide financial support for the aims of the Convention in accordance with the Terms of Reference for the Administration of the Trust Fund. With Resolution Conf. 8.1, the Conference of the Parties approved the accounts for 1989 and 1990 and took note of the estimates of expenditures for 1991 and It approved the budgets and took note of the medium term budget estimates. It also approved the Secretariat report. It was decided to write off the outstanding contributions of the German Democratic Republic and the Union of Soviet Socialist Republics and to remove these countries from the scale of contributions to CITES. UNEP was invited to put forward to the Global Environment Facility requests by the Secretariat for additional funding of appropriate CITES projects aiming at protecting biodiversity. With Resolution Conf. 9.2, the Conference of the Parties approved the expenditures for 1992 and 1993 and took note of the estimates of expenditure for 1994 and It further approved the budgets and took note of the medium-term budget estimates. It approved the Secretariat s reports. With Resolution Conf. 10.1, the Conference of the Parties accepted the expenditures for and took note of the estimates of expenditures for It approved the budgets and took note of the medium-term budget estimates. It was further decided that, as the average annual budget for the triennium represented an 8.66% increase vis-à-vis that of the biennium , 5% was to be covered by adjusting the contributions by the Parties, and the Secretariat was allowed to draw the remaining 3.66% from the balance in the CITES Trust Fund at the end of each year. 360

364 Chapter 22 Financing of the Convention and the Secretariat The Conference of the Parties authorized the Secretariat, subject to listed priorities, to draw additional funds from the Trust Fund balance at the end of each year, provided that it was not reduced below CHF 2.3 million at the commencement of any year. With Resolution Conf the Conference of the Parties accepted the expenditures for 1997, 1998 and 1999 and took note of the estimates of expenditure for It approved the budget including five new posts previously approved by the Standing Committee at its 40th and 42nd meetings and agreed that, during the biennium , funding required for two of these posts would be drawn from the available balance in the CITES Trust Fund, and one of these posts could be funded from the biennium budget from cost savings, if available. The Conference of the Parties further took note of the medium-term budget estimates. It expressed concern that there might be significant discrepancies between resources available and expenditures after 2002 because of significant expenditures from the CITES Trust Fund balance, and noted Goal 7 of the Strategic Vision, to improve realistic planning and forecasting for the Convention. The Secretariat was requested to provide clear indication of the increase in Parties contributions consequent to each proposed budget and was directed, in association with the Standing Committee, to identify one-off and discrete programs that conclude before or soon after 2002 with a view to allocating the freed-up resources to future funding. The Conference of the Parties decided that the average annual budget for the biennium represented a 26.53% increase vis-à-vis that of the previous triennium and that this increase had to be covered by adjusting the contributions by the Parties by 6.1% and by drawing the remaining deficit from the balance of the CITES Trust Fund at the end of each year. The Secretariat was authorized, subject to listed priorities, to draw additional funds from the CITES Trust Fund balance at the end of each year, provided that it was not reduced below CHF 1 million at the commencement of any year. With Resolution Conf. 12.1, Party contributions for the triennium were increased by 6% and Secretariat was requested to maintain an operating cash reserve of USD 700,000 to ensure financial liquidity and was authorized to draw additional funds from the CITES Trust Fund balance at the end of each year, provided that it is not reduced below USD 700,000 at the commencement of each year. This level was maintained with Resolution Conf Resolution Conf increased the contributions from the Parties by 3%, implying a budget decrease of about 7% for the triennium as compared to Resolution Conf instructed the Secretariat to develop a costed programme of work based on the Strategic Vision adopted at CoP14, taking into account available staffing resources and financial means and to submit it for consideration of the Standing Committee at its 57th meeting. It was further decided that the costed programme of work for the triennium should be covered by contributions from the Parties for the amount of USD 4,904,991 for 2009, USD 5,426,937 for 2010 and USD 5,150,247 for 361

365 Chapter 22 Financing of the Convention and the Secretariat This represented an annual increase of the budget with 6%. The Secretariat was instructed to, where activities that were to be externally-funded were concerned, proactively seek funds, preferably non-earmarked, for the implementation of those with priority A and to subsequently seek funds for those with priority B. The currently applicable financial and budgetary provisions These are contained in Resolution Conf on financing and the costed programme of work for the Secretariat for the biennium : THE CONFERENCE OF THE PARTIES RECALLING that the financial amendment to the Convention, adopted in Bonn in 1979, entered into force on 13 April 1987; RECALLING Resolution Conf adopted at the 14th meeting of the Conference of the Parties (The Hague, 2007); HAVING NOTED the actual expenditures incurred by the Secretariat [document CoP15 Doc. 6.2 (Rev. 1)]; HAVING NOTED the revised costed programme of work for 2009 presented by the Secretariat [document CoP15 Doc. 6.3 (Rev. 1)]; HAVING NOTED the projected costed programme of work for presented by the Secretariat [document CoP15 Doc. 6.4 (Rev. 1)]; HAVING REVIEWED the proposed costed programme of work for the biennium , submitted by the Secretariat [document CoP15 Doc. 6.5 (Rev. 1)]; RECOGNIZING the continuing need for administrative and financial arrangements between the Parties and the Executive Director of UNEP; NOTING the increase in the number of Parties as well as species listed in the Appendices to the Convention; the need for greater assistance to the Parties to achieve more effective implementation; the necessity to provide adequately for implementation of all Decisions and Resolutions of the Conference of the Parties as well as the Strategic Vision: , and the resulting increasing expenditure incurred by the Secretariat; THE CONFERENCE OF THE PARTIES TO THE CONVENTION ACCEPTS the report of expenditures for the biennium and APPROVES the costed programme of work for the years ; DECIDES that the implementation of the costed programme of work for the biennium shall be covered by a drawdown from the Trust Fund reserve in the amount of USD 450,000 per year and by contributions from the Parties for the amount of USD 362

366 Chapter 22 Financing of the Convention and the Secretariat 5,225,466 for 2012 and USD 5,723,142 for 2013, and ADOPTS the scale of contributions for as contained in Annex 1; This represents a 7.8% increase of the budget as compared to the biennium and an average increase for the biennium of 3.5% of the contributions of the Parties. NOTES with concern, that in the future, it will not be prudent to drawdown further from the Trust Fund Reserve and acknowledges the implications for the level of contributions needed from Parties or other sources to maintain the programme of work of the Secretariat at the level of the biennium ; INSTRUCTS the Standing Committee, in close cooperation with the Secretariat, to explore options to mitigate the potential impact on the core budget for the triennium , REQUESTS the Secretariat to maintain an operating cash reserve not less than 15 % of the average annual budget to ensure financial liquidity and AUTHORIZES the Secretariat to draw additional funds from the CITES Trust Fund balance at the end of each year, provided that it is not reduced below the operating cash reserve not less than 15 % of the average annual budget at the commencement of each year; INSTRUCTS the Secretariat, where activities that are to be externally-funded are concerned, to seek funds, preferably non-earmarked, for the implementation of activities identified in the costed programme of work; APPROVES the Terms of Reference for the Administration of the Trust Fund, in Annex 2, for the financial period beginning on 1 January 2012 and ending on 31 December 2013; INSTRUCTS the Standing Committee to review the Terms of Reference for the Administration of the Trust Fund for any necessary updates; AGREES that: a) contributions to the Trust Fund shall be based on the United Nations scale of assessment, as amended from time to time, adjusted to take account of the fact that not all members of the United Nations are Parties to the Convention; b) any other basis of assessment of contributions shall not be used without the consent of all Parties present and voting at a meeting of the Conference of the Parties; c) any change in the basic scale of contributions which would increase the liability of a Party to contribute, or would impose a new such liability, shall not apply to that Party without its consent, and that any proposal to change the basic scale of contributions from that currently in use shall only be considered by the Conference of the Parties if notice of such proposal has been communicated by the Secretariat to all Parties at least 150 days before the meeting; and 363

367 Chapter 22 Financing of the Convention and the Secretariat d) Parties should pay their contributions to the Trust Fund in accordance with the agreed scale and, whenever possible, should make special contributions to the Trust Fund above their assessed contributions; REQUESTS all Parties to pay their contributions as far as possible during the year prior to the one to which they relate or, otherwise, promptly by the beginning of the calendar year (1 January to 31 December) to which the contributions apply; NOTES with concern that a number of Parties have not paid their contributions to the core budget (CITES Trust Fund) for 2009 and prior years which were due on 1 January of each year, thus affecting adversely the implementation of the Convention; URGES all Parties with arrears, that have accepted the amendment of the Convention adopted on 22 June 1979, to cooperate with the Secretariat in arranging for the payment of their outstanding contributions without delay; Decision 15.1 urges Parties that are in arrears in the payment of their financial contributions to the Convention: a) to clear all outstanding arrears without delay; and b) if unable to clear all outstanding arrears, to enter into arrangements with the Secretariat to mutually agree on a "schedule of payments". Decision 15.2 mandates the Standing Committee to monitor the payments of contributions from Parties in arrears and to assist the Secretariat in ensuring that future contributions are paid by the due date. Decision 15.3 instructs the Secretariat to continue to monitor Parties that are in arrears of the payment of their financial contributions to the Convention by: a) sending reminders twice yearly, with copies to the permanent missions in Geneva; b) visiting the permanent missions in Geneva of the Parties in arrears for three or more years; and c) seeking assistance from regional representatives to the Standing Committee in following up with Parties concerned. Decision 15.4 instructs the Secretariat to consider the reasons for which Parties are in arrears with regard to their contributions and assist the Parties concerned on an individual basis to facilitate the payment of outstanding contributions. The above decisions are based on earlier recommendations from the Standing Committee and activities that the Secretariat has been carrying out successfully for years. 364

368 Chapter 22 Financing of the Convention and the Secretariat URGES all Parties that have not yet done so to deposit as soon as possible an instrument of acceptance of the amendments to the Convention adopted on 22 June 1979 and 30 April 1983; INVITES States not Parties to the Convention, other governmental, inter-governmental and non-governmental organizations, and other sources to contribute to the CITES Trust Fund; DECIDES that the standard participation charge for all observer organizations other than the United Nations and its specialized agencies shall be set at a minimum of USD 600 (except as otherwise decided by the Secretariat as required) and URGES such organizations to make a greater contribution if possible at least to meet their effective costs of participation; AGREES that: a) all meetings of the Conference of the Parties and all regular meetings of the Standing Committee, the Animals Committee and the Plants Committee should be held in Switzerland unless a candidate host country pays the difference in costs between its proposed venue and Switzerland; and b) no more than two regular meetings each of the Standing Committee, and the Animals and Plants Committees should be convened between regular meetings of the Conference of the Parties; DECIDES that the CITES Trust Fund should not be used to cover travel costs and per diem of committee members and other representatives of developed countries; INSTRUCTS the Finance and Budget Subcommittee of the Standing Committee to report at meetings of the Standing Committee and of the Conference of the Parties on recommendations on all financial and budgetary documents and proposals developed by its members; INSTRUCTS the Secretariat: a) to make provisions for all the costs the Secretariat incurs, including staff costs, when seeking funds for the implementation of externally-funded projects; b) in consultation with proponent Parties, when necessary, to advise the Conference of the Parties on proposals with budgetary implications, including staff costs; and c) in consultation with the Chairs of the Animals and Plants Committees, to assign scientific consultants and define terms of reference for specific science-based projects. Such a process should be implemented in a fashion that would not have a negative impact on the budget but rather effectively utilize the scientific excellence of the Parties which is available to the Secretariat via the Chairs of the technical committees; 365

369 Chapter 22 Financing of the Convention and the Secretariat DECIDES that: a) the Secretary-General shall have the authority to make staffing decisions as necessary to implement the priorities of the Parties within the overall budget and in accordance with the UN rules; and b) any change in the costed programme of work of the Secretariat deriving from a new resolution or decision shall be made only if the source of the necessary additional funds has been decided or if that programme is reprioritized at the time such a resolution or decision is adopted by the Conference of the Parties. Annex 1 Trust Fund for the Convention on International Trade in Endangered Species of Wild Fauna and Flora SCALE OF CONTRIBUTIONS FOR THE BIENNIUM (in US dollars) Party UN Scale CITES Adjusted Scale Annual contributions Afghanistan Albania Algeria ,042 7,021 Antigua and Barbuda Argentina ,485 15,743 Armenia Australia , ,029 Austria ,358 46,679 Azerbaijan , Bahamas , Bangladesh , Barbados Belarus ,608 2,304 Belgium ,932 58,966 Belize Benin Bhutan Bolivia (Plurinational State of) Bosnia and Herzegovina , Botswana , Brazil ,733 88,367 Brunei Darussalam ,072 1,536 Bulgaria ,169 2,085

373 Chapter 22 Financing of the Convention and the Secretariat Sweden ,725 58,363 Switzerland ,966 61,983 Syrian Arab Republic ,743 1,372 Thailand ,928 11,464 The former Yugoslav Republic of Macedonia Togo Trinidad and Tobago ,827 2,414 Tunisia ,291 1,646 Turkey ,687 33,844 Uganda Ukraine ,544 4,772 United Arab Emirates ,894 21,447 United Kingdom of Great , ,243 Britain and Northern Ireland United Republic of Tanzania United States of America ,408,694 1,204,347 Uruguay ,962 1,481 Uzbekistan , Vanuatu Venezuela (Bolivarian Republic ,447 17,224 of) Viet Nam ,620 1,810 Yemen , Zambia Zimbabwe Total ,948,616 5,474,308 Also see the information on the development of the Trust Fund since 1980 in Annex 4, page 803. Annex 2 Terms of Reference for the Administration of the Trust Fund for the Convention on International Trade in Endangered Species of Wild Fauna and Flora 1. The Trust Fund for the Convention on International Trade in Endangered Species of Wild Fauna and Flora (hereinafter referred to as the Trust Fund) shall be further continued for a period of two calendar years, which begins on 1 January 2012 and ends on 31 December 2013, to provide financial support for the aims of the Convention. 370

374 Chapter 22 Financing of the Convention and the Secretariat 2. Pursuant to the Financial Regulations and Rules of the United Nations, the Executive Director of the United Nations Environment Programme (UNEP), with the approval of the Governing Council of UNEP and the Secretary-General of the United Nations, shall continue the Trust Fund for the administration of the Convention. 3. The appropriations of the Trust Fund shall be financed from: a) the contributions made by the Parties by reference to the table attached in Annex 1 including contributions from any new Parties which are to be added to the table; b) contributions from States not Parties to the Convention, other governmental, intergovernmental and non-governmental organizations and other sources; and c) any uncommitted appropriations from any of the financial periods prior to 1 January The estimates for each of the calendar years covered by a financial period shall be specified in a costed programme of work and shall be accompanied by such information as may be required by, or on behalf of, the contributors and such further information as the Executive Director of UNEP may deem useful and advisable. 5. The proposed costed programme of work covering the income and expenditure for each of the calendar years constituting the financial period to which it relates, prepared in US dollars, including all the necessary information, shall be dispatched by the Secretariat to all Parties at least 150 days before the date fixed for the opening of the next regular meeting of the Conference of the Parties. 6. The costed programme of work shall be adopted by a three-quarters majority of the Parties present and voting at the regular meeting. 7. In the event that the Executive Director of UNEP expects that there might be a shortfall in resources, over the year as a whole, he shall consult with the Secretary-General of the Convention, who shall seek the advice of the Standing Committee as to its priorities for expenditure. 8. The Secretary-General of the Convention is authorized, to the extent consistent with the Financial Regulations and Rules of the United Nations, to transfer resources within activity lines of the costed programme of work up to a maximum of 10 % over and above the annual amount foreseen in the costed programme of work under any activity line, provided that such action does not negatively affect any core and high-priority activities. When any such transfers are made, these shall be reported to the Standing Committee at its following meeting. Any budget adjustments over and above the 10 % flexibility mentioned above may be made only after they have been agreed by the Standing Committee. However, the total costed programme of work approved by the Parties for that financial period shall not be exceeded unless this is specifically sanctioned in writing by the Standing Committee. 371

375 Chapter 22 Financing of the Convention and the Secretariat The maximum of the transfer of resources by the Secretary-General was reduced from 20 to 10% at CoP Commitments against the resources of the Trust Fund may be made only if they are covered by the necessary income of the Convention. 10. All contributions shall be paid in any convertible currency. The amount of any payment, however, shall be equal to the amount payable in US dollars on the day the contribution is made. Contributions from States that become Parties after the beginning of the financial period should be made on a pro rata basis for the balance of the financial period. 11. At the end of each calendar year of a financial period, the Executive Director of UNEP shall submit to the Parties the accounts for the year. He shall also submit, as soon as practicable, the audited accounts for the financial period. 12. The Secretary-General of the Convention shall provide the Standing Committee with an estimate of proposed expenditure over the coming calendar year simultaneously with, or as soon as possible after, distribution of the accounts and reports referred to in the preceding paragraph. 13. The general procedures governing the operations of the Fund of UNEP and the Financial Regulations and Rules of the United Nations shall govern the financial operations of the Trust Fund for the Convention. 14. These Terms of Reference shall be effective for the financial period of 1 January 2012 to 31 December 2013, subject to amendments at the 16th meeting of the Conference of the Parties. Terms of Reference for the Finance and Budget Subcommittee of the CITES Standing Committee At its 15th meeting, the Conference of the Parties adopted the following terms of reference for this Subcommittee, which was created by the Standing Committee after CoP 14: 1. Composition of the Subcommittee a) The Finance and Budget Subcommittee shall be composed of two country representatives from Africa and one from each of the other CITES regions, nominated by the region, plus the Depositary Government; and b) the Subcommittee shall elect a Chairman from among its members. 2. Meetings and mode of operation of the Subcommittee 372

376 Chapter 22 Financing of the Convention and the Secretariat a) The Subcommittee shall meet in closed session (i.e. attended only by members of the Subcommittee, Party observers, and the Secretariat) prior to each meeting of the Standing Committee; and b) the members of the Subcommittee shall communicate by electronic means between meetings of the Standing Committee. For this purpose, the Secretariat shall establish a forum on its website for communications among the members and for the sharing of documents, which may be read by non-members, who would communicate their views to their regional representative on the Subcommittee. 3. Responsibilities of members of the Subcommittee Members of the Subcommittee shall seek and represent the views of their region in carrying out their duties, and shall report back to their regions. 4. Responsibilities of the Subcommittee To fulfil the mandate of Resolution Conf. 15.1, the Subcommittee shall: a) broadly, consider all aspects of the financing and budgeting of the Convention and develop recommendations to the Standing Committee. The Subcommittee should focus on keeping the Convention fiscally solvent while providing for essential support services for the efficient and effective functioning of the Convention; b) Evaluate the costed programme of work of the Secretariat and other documents with budgetary implications relative to: i) the duties and responsibilities of the Secretariat mandated in the text of the Convention; and ii) ensuring that the activities undertaken by the Secretariat under the approved budget are consistent with Resolutions and Decisions of the Conference of the Parties; c) based on an evaluation of the costed programme of work and other documents with budgetary implications: i) identify those activities that represent core functions of the Secretariat that should be funded through the Trust Fund; and ii) assign priority rankings to all other activities of the Secretariat to determine which items should be further funded through the Trust Fund or through external funding, with the purpose of guiding the Secretariat in its external funding efforts; d) consider administrative procedures and other aspects of the financing and budgeting of the Convention, and make recommendations for improving the efficiency with which funds are expended; 373

377 Chapter 22 Financing of the Convention and the Secretariat e) consider potential mechanisms for funding the Convention and placing the CITES Trust Fund on a sustainable footing; and f) using the information developed through the processes described in paragraphs a)-e): i) work with the Secretariat to prepare all financial and budgetary documents for consideration by the Standing Committee; ii) further develop the report format to ensure that the financial reports are easily understood and transparent, and that they enable informed decisions to be taken in relation to the financial performance of the Convention; iii) make recommendations to the Standing Committee on all financial and budgetary documents and proposals developed through this process; and iv) otherwise assist the Standing Committee in providing oversight of financial and budgetary matters, including the preparation of documents for meetings of the Conference of the Parties. 5. The Secretariat shall issue to the Subcommittee members a quarterly report, to be sent electronically, which identifies and explains any projected expenditure that exceeds the approved budget by more than 20 % for staff costs or non-staff costs relating to each activity, together with the proposed approach for managing any such projected overexpenditure. Financing of the conservation of species of wild fauna and flora With Decision 11.78, the Conference of the Parties decided that the Standing Committee should form a working group to: a) inventory existing funding mechanisms made available by the Parties specifically for the conservation of wild fauna and flora; b) analyze the way in which these mechanisms operate, taking into account i) the origin of the funds and the way they are collected; ii) principles followed in allocating these funds; iii) structures of administration and control; iv) amounts already involved; v) probable trends concerning these sources of financing; and vi) the overall effectiveness of the funds for the conservation of wild fauna and flora; and c) evaluate the potential use of these funding mechanisms for the purpose of improving implementation of the Convention, especially for assisting enforcement and supporting range States with in situ conservation, for implementation of the provisions of Article IV, paragraph 3, of the Convention and for implementation of the Strategic Plan. 374

378 Chapter 22 Financing of the Convention and the Secretariat Decision provided that the Standing Committee should report the result of this analysis at the meeting of the Standing Committee during the second half of These results were only to be for the discretionary use of the Parties. Decision 11.8 provided that Parties should provide to the Standing Committee working group on financing conservation of species of wild fauna and flora all relevant information regarding existing funds or those being established in territories under their jurisdiction. Decision charged the Secretariat to ensure maximum use of available funds, especially the Global Environment Facility (GEF), the Secretariat, in cooperation with the Secretariat of the Convention on Biological Diversity, shall approach the Secretariat of GEF to determine which projects for the sustainable management of species of wild fauna and flora included in the Appendices of CITES are eligible for financing from GEF. On the basis of the work done under the above decisions, the 12th meeting of the Conference of the Parties adopted the following decisions. Decision provided that the Parties and observers were invited to provide to the Secretariat information on best-practice methods for the financing the conservation of species of wild fauna and flora as well as capacity building for developing countries / countries with economies in transition with a view to furthering inter alia the implementation of the Convention at the national level as well as sustainable international trade in species of wild fauna and flora as may be appropriate; such methods include but are not limited to conservation trust funds, government budgetary allocations where possible, user fees, taxes and fines, subsidies and compensation programs, private sector partnerships, international donor aid, and other innovative approaches as may be relevant. Decision instructed the Secretariat to review, depending on the availability of financial resources, existing and innovative mechanisms to finance the conservation of species of wild fauna and flora as well as capacity building for developing countries / countries with economies in transition with a view to furthering inter alia the implementation of the Convention at the national level as well as sustainable international trade in species of wild fauna and flora. In its review, to be carried out in consultation with relevant conventions, government bodies and aid and donor agencies, the Secretariat should look at relevant trust funds, government budgetary allocations, user fees, taxes and fines, subsidies and compensation programs, private sector partnerships, international donor aid, and other innovative approaches as may be relevant, and compare their usefulness and their potential for benefiting the conservation of CITES-listed species and capacity building for developing countries / countries with economies in transition to ensure the full implementation of the Convention at the national level. The Secretariat was to present its analysis at the 13th meeting of the Conference of the Parties. The Secretariat presented its analysis in document CoP13 Doc. 14 with the following conclusions, which were noted by the meeting of the Conference of the Parties without further action: 375

379 Chapter 22 Financing of the Convention and the Secretariat The Secretariat notes that there is a lack of CITES-relevant information on the wide array of financial mechanisms and instruments. The extent to which these mechanisms have proved, or could prove, useful in strengthening CITES implementation at the national level remains unclear. There is a limited availability of financial mechanisms and instruments that directly targets CITES implementation, though some mechanisms and instruments support the conservation of CITES-listed species. There is also no clear or complete understanding of the comprehensive financial needs for effective implementation of the Convention and for efforts to improve implementation of CITES. The Secretariat believes it is important to continue exploring the range of private and public sector mechanisms that could provide CITES-specific benefits, and to explore the feasibility of a designated financial mechanism for implementation of the Convention. This would necessarily be an international mechanism, given the global mandate of the Convention and the global benefits of its effective implementation. Such a global mechanism would allow for a systematic and programmatic approach to prioritization and allocation of resources for effective implementation. As the financing mechanism of three other biodiversity MEAs, GEF should be taken into consideration as a possible arrangement. The operational principles of GEF state that it will provide new, and additional, grant and concessional funding to meet the agreed incremental costs of measures to achieve agreed global environmental benefits. The incremental costs incurred by CITES Parties in achieving the global environmental benefits associated with the conservation of globally significant endangered species fit exactly with the logic of GEF funding. An alternative, separate financial mechanism for CITES, would entail considerable duplication of management costs, lost opportunity for the strategic integration of the key biodiversity MEAs, and the real possibility that funding from one mechanism would undermine the efforts of the other mechanism. In pursuing the case for GEF funding, the Secretariat believes it is important to continue its collaboration with CBD and other related MEAs, and to consider ways of integrating the decisions and measures of the various conventions. This is important not only in securing global funding but also in strengthening the efficiency and effectiveness of such funding in achieving global environmental benefits. Similarly, cooperative arrangements with international trading regimes such as WTO should be explored for the purpose of enhancing effectiveness. Approval of Externally Funded Projects Resolution Conf. 2.3 requested the Secretariat to prepare suitable proposals for the external funding of specific programs or projects which would assist in the effective implementation of the Convention and to submit, after consultation with the Standing Committee, such proposals to appropriate funding institutions. In 1991, the Standing Committee adopted guidelines and procedures which the Secretariat had to follow in developing proposals for projects and in seeking funds external to the Secretariat core budget. 376

380 Chapter 22 Financing of the Convention and the Secretariat The 12th meeting of the Conference of the Parties adopted a proposal from the Secretariat to adapt the procedure in order to make it more efficient. This procedure was contained in Resolution Conf. 12.2, which was repealed at CoP 15 and replaced by: Decision 15.20, which instructs the Secretariat to: a) in cooperation with international financial institutions and potential donors, investigate possible ways to establish the means to secure funding to support the provision of technical assistance to CITES Parties in relation to regulating wildlife trade (including population studies as a basis for management programs); and b) report its findings and recommendations at the 16th meeting of the Conference of the Parties. 377

381

382 Chapter 23 - Economic Incentives and Trade Policy Introduction The 12th meeting of the Conference of the Parties discussed an innovative document from the Secretariat on these issues. As a result, it adopted Decision 12.22, which provided that: The Secretariat should, contingent on the availability of external funding and in collaboration with the Parties that wish to participate and with CBD, FAO, Fauna and Flora International, ICTSD, IFC, IUCN, OECD, TRAFFIC, UNEP- ETB, UNCTAD-BIOTRADE, the World Resources Institute, the World Bank and WTO: a) organize a technical workshop on wildlife trade policies and economic incentives applicable to the management of and trade in CITES-listed species, in particular in order to develop a methodology to review those policies and to make targeted recommendations on the use of those incentives; b) report at the 49th meeting of the Standing Committee the findings and recommendations of the workshop; c) invite Parties to inform the Secretariat, on the basis of the results of the workshop, if they wish to be included in the trade policy review; d) conduct, in cooperation with the Parties, a review of their national policy regarding the use of and trade in CITES-listed species, taking into account economic incentives, production systems, consumption patterns, market access strategies, price structures, certification schemes, CITES-relevant taxation and subsidy schemes, property rights, mechanisms for benefit sharing and reinvestment in conservation, as well as stricter domestic measures that Parties apply or are affected by; e) compile and synthesize the information provided by the Parties, and produce a report analyzing the economic impacts of wildlife trade policies in terms of socio-economic and

383 Chapter 23 Economic Incentives and Trade Policy conservation benefits and costs, economic value, levels of legal and illegal trade, improvement of the livelihood of local communities, and the role of the private sector involved in wildlife trade; f) report at the 13th meeting of the Conference of the Parties on the progress made with regard to the implementation of this Decision; and g) prepare and submit a project proposal to the Global Environment Facility, and other funding institutions and development agencies, to seek financial support to prepare the trade-policy reviews in the selected countries, in the context of their national and regional strategies for biodiversity conservation. Decisions and concerned the possibility for Parties to have their national policy for the use of and trade in wildlife reviewed in the context of the results of the outcome of the workshop on trade policy and economic incentives that was held in Geneva in Decisions instructed the Secretariat to invite all Parties and relevant organizations to provide information, experiences and, where possible, outcomes on their use of economic incentives and report at the 53rd meeting of the Standing Committee for consideration on the manner in which this might be taken up for further action on capacity building and possible regional cooperation. Decision13.77 instructed the Secretariat, subject to the availability of funding, to continue its cooperation on incentive measures with the CBD Secretariat and other biodiversity-related conventions (e.g. Ramsar and CMS), as well as with the private sector and relevant governmental, intergovernmental and non-governmental organizations. This cooperation shall focus, inter alia, on the exchange of experiences in the design and use of economic incentives for sustainable management of wild fauna and flora, compilation of case-studies, best practices and lessons learnt, as well as the development of targeted recommendations, operational guidelines and associated instruments for the sustainable use of wild flora and fauna. Decision encouraged Parties that develop incentive measures for the effective implementation of the Convention to include relevant details in their biennial reports. Decision encouraged Parties to consider the adoption of standard operating procedures to complete the formalities required for trade in CITES-listed species in an efficient manner. Management Authorities were encouraged to liaise with national ministries and agencies responsible for regulation and promotion of exports and imports in their countries to benefit from the expertise and support they offer in this area. Decision provided that the Parties should consider practical ways to enhance stakeholder engagement in the implementation of the Convention (e.g. promoting good practices and codes of conduct that facilitate the work of CITES authorities, help to reduce time-frames for the completion of CITES procedures and enhance the role of the private sector in intelligence gathering to identify and prosecute illegal traders). 380

384 Chapter 23 Economic Incentives and Trade Policy Decision provided that, using inter alia information provided by Parties in their biennial reports, the Secretariat should conduct a survey of the fees for CITES permits and cost of CITES-related administrative services, and provide basic guidance to Parties on how cost-recovery programmes can be designed and used for internalizing the cost of implementing the Convention in this regard. Decision instructed the Secretariat, subject to external funding, to continue its cooperation with the BioTrade Initiative of the United Nations Conference on Trade and Development under a signed Memorandum of Understanding to ensure the conservation of wild species subject to international trade and promote private sector compliance with CITES requirements and national legislation. Decision instructed the Secretariat to report on the progress made with regard to the implementation of Decisions and at the 15th meeting of the Conference of the Parties. Wildlife Trade Policy Reviews As a result of the above process, the Conference of the Parties adopted Resolution Conf. 15.2, which reads as follows: RECALLING the third paragraph of the preamble to the Convention, which stipulates that peoples and States are and should be the best protectors of their own wild fauna and flora; REAFFIRMING the goals and objectives of the CITES Strategic Vision: adopted at the 14th meeting of the Conference of the Parties, particularly Objective 1.1 that Parties comply with their obligations under the Convention through appropriate policies, legislation and procedures; RECOGNIZING the importance of effective governance systems in the implementation of the Convention, national policies and legislation related to CITES and management plans for CITES-listed species; RECALLING the recommendations of the Regional Workshop for Arabic-Speaking Countries on Wildlife Trade Policy Reviews held in Kuwait from 8 to 11 March 2009; THE CONFERENCE OF THE PARTIES TO THE CONVENTION INVITES exporting and importing countries to carry out, on a voluntary basis, reviews of wildlife policy on the use of and trade in specimens of CITES-listed species, taking into account environmental, social and economic issues and relevant policy instruments, in order to facilitate a better understanding of the effects of wildlife trade policies on the international wildlife trade; ALSO INVITES Parties to carry out, on a voluntary basis, regional or subregional wildlife trade policy reviews, in accordance with the realities of participating countries; 381

385 Chapter 23 Economic Incentives and Trade Policy URGES Parties which decide to carry out wildlife trade policy reviews to take into account the lessons learned and tools developed under the CITES Policy Review Project ( ); REQUESTS Parties that undertake wildlife trade policy reviews on a voluntary basis to share relevant details of their reviews and lessons learned with other Parties; INSTRUCTS the Secretariat to facilitate the review of wildlife trade policies, through raising the necessary funds and providing necessary technical cooperation, compile information provided voluntarily by the Parties regarding their wildlife trade policy reviews and make this information available to other Parties; ENCOURAGES Parties to take into account the needs of indigenous people and other local communities when adopting trade policies concerning wild fauna and flora; URGES Parties to promote mutual understanding and support across the science-policy interface and ensure that biological and social scientists and policymakers work in a cross-disciplinary manner; INVITES replication of the Regional Workshop for Arabic-Speaking Countries on Wildlife Trade Policy Reviews in other regions; and ALSO INVITES bilateral, multilateral and other interested donors and partners to support and related institution-building activities. Decision 15.8 instructs the Secretariat to report at the 62nd meeting of the Standing Committee and at the 16th meeting of the Conference of the Parties on the progress made with regard to the implementation of Resolution Conf on Wildlife trade policy reviews. 382

386 Chapter 24 - Livelihoods Resolution Conf. 8.3 (Rev. CoP13) on the recognition of the benefits of trade in wildlife, notes that the majority of species of wild fauna and flora that CITES seeks to protect and enhance occur in the developing countries of the world and recognizes that the sustainable use of wild fauna and flora, whether consumptive or non-consumptive, provides an economically competitive land-use option. The Conference of the Parties expresses its awareness that, unless conservation programmes take into account the needs of local people and provide incentives for sustainable use of wild fauna and flora, conversion to alternative forms of land use may occur. It recognizes also that the returns from legal use may provide funds and incentives to support the management of wild fauna and flora to contain the illegal trade. It acknowledges that the aesthetic, scientific, cultural, recreational and other largely nonconsumptive uses of wild fauna and flora are also of enormous importance. In the operative part of the Resolution, the Conference of the Parties recognizes: - that commercial trade may be beneficial to the conservation of species and ecosystems and/or to the development of local people when carried out at levels that are not detrimental to the survival of the species in question; and - that implementation of CITES-listing decisions should take into account potential impacts on the livelihoods of the poor. This last paragraph was added at CoP 13.

387 Chapter 24 Livelihoods In 2006, the South African National Biodiversity Institute hosted a workshop on CITES and Livelihoods to identify practical measures that would contribute to the implementation of this new provision of Resolution Conf. 8.3 (Rev. CoP13). The workshop agreed on 14 recommendations that were presented at CoP14 and served as the basis for the adoption of Decisions 14.3 and Decision 14.3 directed the Standing Committee to, subject to the availability of external funding, and requesting the assistance of organizations including the IUCN Species Survival Commission, initiate and supervise a process to develop, by the 15th meeting of the Conference of the Parties: a) tools for voluntary use by the Parties for the rapid assessment at the national level of the positive and negative impacts of implementing CITES listing decisions on the livelihoods of the poor, in conformity with Resolution Conf. 8.3 (Rev. CoP13); and b) draft voluntary guidelines for Parties to address these impacts, particularly in developing countries. The guidelines should, where possible, assist Parties to develop local, national and regional initiatives that take account of the impacts of implementing CITES listing decisions on the livelihoods of the poor. This process may benefit from taking account of the deliberations and recommendations of the CITES and Livelihoods Workshop (5-7 September 2006) and should draw on the technical contributions of Parties, the Secretariat, non-governmental organizations and other national and international agencies, such as IUCN The World Conservation Union. For further clarification, the process shall not include consideration of the criteria for amendment of the Appendices or the requirement to make non-detriment findings. Decision 14.4 directed the Secretariat to seek external funds to enable the Standing Committee to initiate and develop the process described in Decision On the basis of the above, in 2008, the Standing Committee established a Working Group on CITES and Livelihoods, which worked in consultation with the UNEP World Conservation Monitoring Centre. A draft Resolution was submitted to CoP15, which was rejected. Decision 15.5 therefore instructs the Standing Committee to continue the operation of its Working Group on CITES and Livelihoods so that it can: a) revise the draft resolution contained in Annex 1 to document CoP15 Doc. 14 and make specific recommendations at the 16th meeting of the Conference of the Parties; 384 This is the text of the draft Resolution concerned: RECALLING Resolution Conf. 8.3 (Rev CoP13), adopted at the 13th meeting of the Conference of the Parties (Bangkok, 2004) where the Conference recognized that implementation of CITES-listing decisions should take into account potential impacts on the livelihoods of the poor;

388 Chapter 24 Livelihoods RECALLING ALSO Decision 14.3 requesting the Standing Committee to develop draft voluntary guidelines for Parties to address these impacts, particularly in developing countries; RECOGNIZING that CITES-listing decisions are neither the sole cause nor the sole solution to the livelihood problems of the poor, but that the effective implementation of such decisions can form part of a strategy to provide sustainable livelihoods for the poor and accelerate achievement of the Millennium Development Goals; RECOGNIZING that the proper implementation of CITES listings may enhance livelihoods by delivering long-term species conservation; RECOGNIZING ALSO that implementation of some listings (particularly Appendix I listings) may impact livelihoods of the poor by restricting access to income, employment and other resources such as food, materials and medicines, but that it need not always do so if appropriate implementation strategies are adopted; THE CONFERENCE OF THE PARTIES TO THE CONVENTION AGREES that the following principles be considered when Parties address livelihood issues: Regarding empowerment of the poor ENCOURAGES all Parties to work with key stakeholder groups to design, implement and monitor effective strategies for the implementation of CITES listings recognizing that: a) Solutions are likely to be case and situation specific; b) Although amendments to the CITES Appendices must, unless indicated otherwise in an annotation, come into effect 90 days after their adoption by the Conference of the Parties, developing appropriate solutions to mitigate negative impacts on the livelihoods of the poor may require time to incorporate significant policy changes; c) Developing guidelines may be an ongoing process as more knowledge is gained about specific impacts and successful as well as failed experiences; and d) Monitoring and evaluation of strategies will be an important aspect of the development of appropriate implementation strategies and policies; AGREES THAT: a) Empowerment of the poor should be encouraged through measures that include, as appropriate: 385

389 Chapter 24 Livelihoods i) Promoting transparency in the development and implementation of policies regarding poverty and the use of natural resources; ii) Developing harvesters associations; iii) Developing trade associations with clear obligations for benefit sharing; and iv) Recognizing of resource tenure for indigenous and tribal communities and the poor; b) Support for the implementation of CITES listings should be enhanced by public awareness and education, including education of poor people, to ensure that: i) The positive aspects of CITES and CITES-related legislation are understood; ii) The need to take measures to conserve listed species, and the benefits, particularly to poor people, that can accrue from doing so, are appreciated; and iii) Poor communities support policies and activities designed to reduce or eliminate illegal trade in specimens of CITES-listed species; and c) As implementation of some listings may have short-term negative impacts on the poor, mitigation strategies may include: i) Developing interim aid packages to provide assistance to the collectors and harvesters most severely affected by the implementation of the CITES-listing decisions; and ii) Waiver of permit fees during the first six months of a listing so that local harvesters and producers can internalize the transaction costs generated by the implementation of the CITES-listing decisions; Regarding compensatory mechanisms for the shift from in situ to from situ production AGREES THAT: a) Implementation of some CITES-listings may encourage from situ production, which may lead to delocalization of profits. Mechanisms may be required to: i) Develop market-based incentives to encourage benefit sharing; ii) Remove barriers to the development of in situ production systems; 386

390 Chapter 24 Livelihoods b) Consumer countries may work with producer countries to develop effective strategies to support positive impacts and minimize negative impacts of the implementation of CITES listings. These could include: i) Working with from situ producers and trade associations; ii) Developing supportive strategies through bilateral conservation and development projects; and c) Mitigation strategies may explore the use of alternative production systems such as ranching, artificial propagation or captive breeding. Regarding mitigation strategies for human-wildlife conflict RECOMMENDS THAT mitigation strategies provide alternatives or compensation schemes (e.g. payment for ecosystem services, employment in eco-tourism or as game wardens; provision of tourist or local hunting and collection permits; development of alternative products); Regarding enabling policies INVITES Parties to initiate or strengthen collaborative partnerships between development and conservation agencies to enhance aid effectiveness for wildlife conservation and eliminate duplication of efforts (e.g. CITES authorities making cross-sectoral links to seek assistance in mainstreaming wildlife trade policies into poverty reduction strategies and wider development plans). ENCOURAGES international financial institutions and cooperation agencies to assist Parties in the development of multilateral and bilateral measures, supportive policies and institutions at the regional, national and local levels to address negative impacts of the implementation of CITES listings on the livelihoods of the poor. Decision 15.5 continued: b) finalize the toolkit for the rapid assessment at the national level of the positive and negative impacts of implementing CITES listing decisions on the livelihoods of the poor, in conformity with Resolution Conf. 8.3 (Rev. CoP13); c) finalize the voluntary guidelines for Parties to address the negative impacts, in order to assist Parties in developing local, national and regional initiatives that take account of the impacts of implementing CITES listing decisions on the livelihoods of the poor; and d) prepare a final version of the tools and guidelines for review and endorsement by the Standing Committee at its 62nd meeting. 387

391 Chapter 24 Livelihoods The Working Group shall continue to work electronically through a forum available on the CITES website. If funding is available, consideration may be given to holding one or more meetings, if possible in regions more likely to be affected by the outcome. The process shall not include consideration of the criteria for amendment of the Appendices or the requirement to make non-detriment findings. Decision 15.6 instructs the Standing Committee to present a report at the 16th meeting of the Conference of the Parties on the progress made with regard to the implementation of Decision Decision 15.7 instructs the Secretariat, on completion of the draft guidelines and toolkit by the Working Group, to make the draft documents available on its website for comments by Parties, stakeholders and interested organizations, and shall invite such comments via a Notification to the Parties. The comments shall be made available to the Working Group for consideration in the development of revised draft documents to be submitted for approval at the 61st meeting of the Standing Committee. 388

392 Chapter 25 - Committees Introduction In order to facilitate the work of the Conference of the Parties and to keep that work going in between meetings, the Conference established a number of committees, sub-committees and working groups. Through the years, their number increased and existing committees and working groups were given additional tasks. Mandates, membership and working procedures varied from one committee to another and were to be found in a great many Resolutions. The history of the Standing Committee In 1976, with Resolution Conf. 1.7, the first meeting of the Conference of the Parties, established a Steering Committee to coordinate with the Secretariat the organization of a special working session of the Conference of the Parties. This meeting was held in October 1977 in Geneva. By agreement of the Parties present at that meeting, the Steering Committee also became involved in questions with regard to the budget of the Convention and corresponded with UNEP on the matter. In accordance with Resolution Conf. 1.7, it further assisted in the organization of the second meeting of the Conference of the Parties. The appointment of the Steering Committee was regarded as provisional until the next meeting of the Conference of the Parties. Its membership should provide for the best geographical representation, within the limits set by the geographical distribution of existing Parties and their willingness to serve. In a paper on the future of the Steering Committee, submitted by the Secretariat to the second meeting of the Conference of the Parties, it was considered essential that a permanent Committee be established. The

393 Chapter 25 Committees Secretariat suggested to change the title into Standing Committee of the Conference of the Parties and made proposals with regard to its terms of reference and composition. This resulted in 1979 (Resolution Conf. 2.2) in the establishment of the Standing Committee of the Conference of the Parties. With Resolution Conf. 3.1, the mandate was revised and with Resolution Conf. 4.1 voting procedures were established. Only the regional representative members were given the right to vote. In the case of a tie vote, the Depositary Government representative member was given the right to vote to break the tie. In 1987, a comprehensive and far reaching proposal, prepared and submitted for consideration by the sixth meeting of the Conference of the Parties by representatives of Canada, Switzerland, the United Kingdom and Zimbabwe, addressed the need to develop structures and procedures for a proper functioning of committees, sub-committees and working groups. The proposal aimed at the re-establishment of existing committees, sometimes under a different name, and at the creation of a number of new committees and subcommittees. It made a distinction between committees that operate during meetings of the Conference of the Parties (sessional committees) and those that operate between such meetings (intersessional committees). The proposal did not concern the sessional committees, which are established by the Rules of Procedure of meetings of the Conference of the Parties. Although the Conference of the Parties rejected many of the elements of the proposal, it agreed, with Resolution Conf. 6.1, to formalize a system for the appointment of committees of the Conference of the Parties and to establish procedures to be followed when committees are created. In 1989, Resolution Conf. 7.1 introduced alternate regional members. Resolution Conf. 6.1 re-established the Standing Committee. That Resolution was repealed with Resolution Conf. 9.1 in With Resolution Conf. 9.1, the Conference of the Parties considered the following: - the important role that the Standing Committee plays in steering the work and performance of the Convention in the periods between the meetings of the Conference of the Parties; - the number of wildlife trade problems that occur between the South and the North, and the significant influence of the Standing Committee in deciding the status of the affected species listed in the Appendices; - that skewed representation on the Standing Committee could cause unfair assessment in deciding issues of great concern to producer States; and 390

394 Chapter 25 Committees - the importance of ensuring that representation of regions in the Convention clearly reflects the participation of the Parties covered by each region. In 1997, that Resolution was amended and became Resolution Conf. 9.1 (Rev.), which was replaced by Resolution Conf in Resolution Conf was amended at the 12th, 13th, 14 th meetings of the Conference of the Parties and lastly at CoP 15 in The establishment of committees The Conference of the Parties agrees with Resolution Conf (Rev. CoP15) to formalize a system for the appointment of committees of the Conference of the Parties and to establish procedures to be followed when committees are created; It further resolves that: a) there shall be a permanent Standing Committee of the Conference of the Parties, which shall be the senior Committee, and shall report to the Conference of the Parties; b) there shall be an Animals Committee and a Plants Committee, which shall report to the Conference of the Parties at its meetings and, if so requested, to the Standing Committee between meetings of the Conference of the Parties; c) the Conference of the Parties may appoint additional committees as the need arises; d) the Conference of the Parties or the Standing Committee may appoint working groups with specific terms of reference as required to address specific problems. These working groups shall have a defined life span which shall not exceed the period until the next meeting of the Conference of the Parties, at which time it may be renewed if necessary. They shall report to the Conference of the Parties and, if so requested, to the Standing Committee; e) the Standing Committee shall adopt its own Rules of Procedure; These Rules of Procedure can be found in Annex 2, page 793. f) the Animals and Plants Committees shall adopt their own Rules of Procedure, which shall, however, be in accordance with the Rules of Procedure of the Standing Committee as far as is practicable; g) regional representatives shall be elected by the Conference of the Parties as members of the Standing Committee; h) to the extent possible, the Secretariat shall make provision for the payment, if requested, of reasonable and justifiable travel expenses of members, including attendance 391

395 Chapter 25 Committees at the relevant committee meetings, and other expenses of the Chairs of the Standing Committee, the Animals Committee and the Plants Committee, for representatives from developing countries, countries with economies in transition and small island developing states; Decision14.5 provided that Parties and regions should utilize or develop long-term sustainable funding mechanisms to support their representatives. With Resolution Conf it was decided that the CITES Trust Fund should not be used to cover travel costs and per diem of committee members and other representatives of developed countries. i) all committees established by the Conference of the Parties shall be listed in annexes to this Resolution; j) the Secretariat shall, upon request by a committee chair, provide secretarial services when such services can be met within the approved budget of the Secretariat; k) when back-to-back meetings of the Animals and Plants Committees include a joint session, the duration of the separate committee meetings should be four days, but that when not back-to-back, the length of each meeting should be five days; and Back-to-back meetings were excluded by the Budget Working Group, followed by the Conference of the Parties in 2007, when it deleted the provision about Animals and Plants Committees meeting back-to-back from Resolution Conf l) the Secretariat shall ensure that any vacancies in the Animals and Plants Committees are brought immediately to the attention of the Standing Committee, in order to fill the vacancies as soon as possible. Regional sessions at meetings of the Conference of the Parties The Parties traditionally have regional sessions in each of the two weeks of a meeting of the Conference of the Parties. Their functioning is also dealt with in Resolution Conf (Rev. CoP15), but in this book in Chapter 21 on page 346. Frequency and venues of meetings With Resolution Conf. 13.1, it was agreed that: a) all meetings of the Conference of the Parties and all regular meetings of the Standing Committee should be held in Geneva unless a candidate host country pays the difference in costs between its proposed venue and Geneva; 392

396 Chapter 25 Committees b) all meetings of the Animals and Plants Committees should be held back-to-back and in the same place, and every other meeting should be convened in Geneva unless a candidate host country pays the difference in costs between its proposed venue and Geneva; and c) no more than two regular meetings of the Standing Committee and no more than two meetings each of the Animals and Plants Committees should be convened between meetings of the Conference of the Parties. At CoP14, the Budget Working Group decided against back-to-back meetings of the Animals and Plants Committees in view of the extra costs involved, as a result of which the Conference of the Parties did not include paragraph b) above in Resolution Conf Resolution Conf. 15.1, like Conf. 14.1, contains the following amended provisions: a) all meetings of the Conference of the Parties and all regular meetings of the Standing Committee, the Animals Committee and the Plants Committee should be held in Switzerland unless a candidate host country pays the difference in costs between its proposed venue and Switzerland; and b) no more than two regular meetings each of the Standing Committee, and the Animals and Plants Committees should be convened between regular meetings of the Conference of the Parties. The Standing Committee Regional representation in the Standing Committee Resolution Conf Rev. CoP13) recommends (from Decision 10.3) regarding regional representation in the Standing Committee that the following guidelines be implemented: a) Selection of regional members and alternate regional members i) In the selection of regional members and alternate regional members, the following considerations should be taken into account: A. for regions with one member and one alternate member, a rotation in the selection is recommended; and B. for regions with more than one member and one alternate member, the selection should try to achieve a balanced representation (geopolitical, cultural, and ecological); ii) The regional candidatures should be officially submitted by the interested Parties through a governmental channel, at least 120 days before a meeting of the Conference 393

397 Chapter 25 Committees of the Parties. These candidatures should be communicated to all the Parties of the region through the Secretariat; iii) If more candidatures are submitted than there are positions available for any region, a vote should take place in a session of the Parties of that region to be held during the meeting of the Conference of the Parties. To be elected, a candidate should obtain an absolute majority (i.e. more than half the votes). Only the delegations duly accredited by the Conference should have the right to vote. The election should take place during the second week of the meeting; and iv) The election of a member and of the alternate should take place at the end of the term of office of their predecessors, in accordance with the above-mentioned procedure, through successive votes during a single process; and b) Timing of replacement of members and alternate members i) The terms of office of the regional members and their alternates shall commence at the close of the regular meeting at which they are elected and shall expire at the close of the second regular meeting thereafter; ii) For regions with one member and one alternate member, the selection should occur at every second meeting; and iii) For regions with more than one member and one alternate member, to guarantee some continuity, not all members and alternate members should be changed at the same meeting; Standing Committee procedures Resolution Conf (Rev. CoP13), in its Annex 1, determines procedures for the Standing Committee to adhere to. These form the basis for the Rules of Procedure of the Standing Committee (see Annex 4, page 793), which also apply to the other permanent committees. 394 Annex 1 Establishment of the Standing Committee of the Conference of the Parties CONSIDERING the important role that the Standing Committee plays in steering the work and performance of the Convention in the periods between the meetings of the Conference of the Parties; CONSIDERING the number of wildlife trade problems that occur between the South and the North, and the significant influence of the Standing Committee in deciding the status of the affected species listed in the Appendices; CONSIDERING that skewed representation on the Standing Committee could cause unfair assessment in deciding issues of great concern to producer States;

398 Chapter 25 Committees CONSIDERING the importance of ensuring that representation of regions in the Convention clearly reflects the participation of the Parties covered by each region; THE CONFERENCE OF THE PARTIES TO THE CONVENTION RESOLVES to re-establish the Standing Committee of the Conference of the Parties, with the following Terms of reference for the Standing Committee Within the policy agreed to by the Conference of the Parties, the Standing Committee shall: a) provide general policy and general operational direction to the Secretariat concerning the implementation of the Convention; b) provide guidance and advice to the Secretariat on the preparation of agendas and other requirements of meetings, and on any other matters brought to it by the Secretariat in the exercise of its function; c) oversee, on behalf of the Parties, the development and execution of the Secretariat's budget as derived from the Trust Fund and other sources, and also all aspects of fund raising undertaken by the Secretariat in order to carry out specific functions authorized by the Conference of the Parties, and to oversee expenditures of such fund-raising activities; d) provide coordination and advice as required to other committees and provide direction and coordination of working groups established by either itself or the Conference of the Parties; e) carry out, between one meeting of the Conference of the Parties and the next, such interim activities on behalf of the Conference as may be necessary; f) draft resolutions for consideration by the Conference of the Parties; g) report to the Conference of the Parties on the activities it has carried out between meetings of the Conference; h) act as the Bureau at meetings of the Conference of the Parties, until such time as the Rules of Procedure are adopted; and i) perform any other functions as may be entrusted to it by the Conference of the Parties; 395

399 Chapter 25 Committees DETERMINES: a) the following principles for The membership of the Standing Committee i) the membership of the Standing Committee shall consist of: A. a Party or Parties elected from each of the six major geographic regions consisting of Africa, Asia, Central and South America and the Caribbean, Europe, North America and Oceania, according to the following criteria: 1. one representative for regions with up to 15 Parties; 2. two representatives for regions with 16 to 30 Parties; 3. three representatives for regions with 31 to 45 Parties; or 4. four representatives for regions with more than 45 Parties; B. the Depositary Government; and C. the previous host Party and the next host Party; ii) each Party elected as an alternate member for a member described in subparagraph A, to be represented at meetings as a regional member only in the absence of a representative of the member for which it is the alternate; and iii) the membership of the Committee shall be reviewed at every regular meeting of the Conference of the Parties. The terms of office of the regional members shall commence at the close of the regular meeting at which they are elected and shall expire at the close of the second regular meeting thereafter. 396

401 Chapter 25 Committees PREVIOUS HOST COUNTRY Qatar NEXT HOST COUNTRY Thailand Standing Committee Procedures b) that the Standing Committee shall adhere to the following procedures: i) all Committee members may participate in Committee business but only the regional members or alternate regional members shall have the right to vote except in the case of a tie vote, when the Depositary Government shall have the right to vote to break the tie; ii) the Chair, Vice-Chair and any other necessary executive officers shall be elected by and from the regional members; iii) if an extraordinary meeting of the Conference of the Parties is held between two regular meetings, the host Party of that meeting shall participate in the work of the Committee on matters related to the organization of the meeting; iv) the Chairs of the technical committees shall be invited on a regular basis to the meetings of the Standing Committee; v) Parties not members of the Committee shall be entitled to be represented at meetings of the Committee by an observer who shall have the right to participate but not to vote; This wording gives the impression that only one observer can participate. That was apparently not the intention and many non-standing Committee member countries are represented by several observers. vi) the Chair may invite any person or a representative of any other country or organization to participate in meetings of the Committee as an observer without the right to vote; and vii) the Secretariat shall inform all Parties of the time and venue of Standing Committee meetings; and Travel expenses of members of the Standing Committee c) the following principles for the payment of travel expenses to members of the Standing Committee: 398

402 Chapter 25 Committees i) the Secretariat shall make provisions in its budget for the payment, if requested, of reasonable and justifiable travel expenses of one person representing each regional member, to attend each regular meeting of the Standing Committee (excluding those associated with a meeting of the Conference of the Parties) other than for representatives of developed countries; This is in line with the provision in Resolution Conf with which it is decided that the CITES Trust Fund should not be used to cover travel costs and per diem of committee members and other representatives of developed countries. ii) members should make every effort to pay their own travel expenses; iii) the Chair of the Standing Committee may be refunded for all reasonable and justifiable travel expenses for travel undertaken on behalf of the Conference of the Parties, the Standing Committee, or the Secretariat; and iv) travel arrangements for sponsored regional members will be made by the Secretariat in accordance with the Rules and Regulations of the United Nations and, where applicable, claims for refunds must be supported by receipts, and be submitted to the Secretariat within 30 days from the completion of the travel. Duties of the regional representatives in the Standing Committee RESOLVES that the duties of the regional representatives in the Standing Committee are as follows: a) regional representatives should maintain a fluid and permanent communication with the Parties of their region and the Secretariat; b) before the meetings of the Standing Committee, the representatives should communicate to the Parties of their region the items on the agenda, to request their opinions, preferably on matters specifically relevant to the countries or the region. They should also inform them of the results of the meeting. At least two regional meetings should take place between meetings of the Conference of the Parties, one of which should be specifically to deal with proposals to be submitted to the Conference at its next meeting. The regional representatives should convene these meetings; and c) the regional representatives should report in detail on their activities, initiatives and achievements at the regional sessions that are taking place during meetings of the Conference of the Parties. The Parties may make comments on these reports, which should be included in the proceedings. 399

403 Chapter 25 Committees Template for reports of regional representatives to the Standing Committee At its 59th meeting, in 2010, the Standing Committee agreed that the reports of regional representatives, which are to be presented at each regular meeting of the Standing Committee, should be based on the following template. Introduction A statement about the number of Parties in the region; new Parties; representatives in the Standing Committee. Overview of major developments The regional representatives' comments on the most important policy-related developments if any of which the Standing Committee should be aware in Management Authorities, Scientific Authorities and law-enforcement authorities of the region. Activities of the regional representatives Since regional representatives are supposed to maintain a permanent communication with the Parties of the region, and to discuss matters to be considered by the Standing Committee, they should summarize their activities in this regard. Participation of the representatives in CITES meetings and other relevant international meetings can be included. Regional cooperation Cooperative activities within the region should be reported, such as regional meetings, efforts to improve control of cross-border trade, and efforts to deal with excessive or illegal trade in specific species. Meetings and workshops A list can be provided of the main CITES-related meetings and workshops held within the region, whether national or international in nature. Problems faced by the regional representatives If regional representatives face particular problems in fulfilling their duties, it would be useful to describe these and also to propose solutions. The Clearing House of the Standing Committee In view of growing concern that the Animals and Plants Committees were asked to deal with legal and technical, rather than scientific issues, the Standing Committee established, in March 2004, a clearing house to refer technical implementation issues to the appropriate CITES body. 400

404 Chapter 25 Committees The clearing house comprises two officials nominated by Parties and appointed by the Standing Committee to advise on the handling of technical implementation issues referred to the latter. The Standing Committee also established a referral procedure describing how issues are submitted to the clearing house, the course of actions the clearing house follows when examining these issues, and the various possible outcomes. In short, the clearing house needs to analyze and categorize the problem as being of an administrative, operational or technical, policy, or scientific nature, and submit to the Standing Committee a recommendation on the body that should deal with the issue and the desired outcome. The definition of the different categories as well as the detail of the referral procedure are provided below. Glossary of terms General definition Clearing-house Two officials nominated by Parties and appointed by the Standing Committee to advise on the handling of technical implementation issues referred to the latter. These persons do not hold formal meetings and all business is handled by or by telephone. They refer their recommendations to the Chairman of the Standing Committee for a final decision, in consultation with the Committee members if appropriate. Category definitions Administrative issues Issues for which a process or body is already in place, but which require oversight and support to bring to fruition. The action required will involve coordinating, organizing, liaising, supervising and facilitating actions to ensure progress. The desired outcome would usually be to improve the effectiveness of a particular procedure or process. Operational and technical issues Issues that require consideration from a day-to-day management perspective and involve comparing, analyzing, considering, applying and piloting possible procedures to ensure practicality. The desired outcome would usually be a tool or procedure. Policy issues Issues that require resolution in the form of a universal definition or ruling that involves integrating, defining, clarifying or drafting texts to ensure clarity and consistency of the policy in question. The desired outcome would usually be a reference document. 401

405 Scientific issues Chapter 25 Committees Issues that require scientific input to ensure that the fundamental principles of the Convention are achieved in the most effective way. This will involve researching, reporting and advising on particular cases to ensure that decisions are scientifically-based. The desired outcome would usually be a report. Referral procedure 1. An issue is referred to the Standing Committee by the Conference of the Parties, one of the permanent committees, a Party or the Secretariat. 2. The Chairman of the Standing Committee refers the issue to the clearing house. 3. The clearing-house prepares the following for the Chairman of the Standing Committee: a) a brief description (preferably less than one page) defining the problem by outlining: i) the issues to be addressed; ii) an analysis of the issue; iii) the States, organizations or persons to be consulted or involved; and iv) the desired outcome (e.g. a definition, a database or a register); b) i) a recommendation as to which CITES body should consider the issue in accordance with the implementation category definitions or other guidelines provided by the Chairman of the Standing Committee; or ii) a recommendation to take no action, if given the possibility by the Chairman of the Standing Committee. The clearing-house may reach this conclusion if it determines that the issue is trivial or that attempts to remedy it would have unacceptable consequences or are too costly; and c) In general, a referral that would be categorized as: i) administrative issues to be referred to the Secretariat; ii) scientific issues to be referred to the Animals Committee, the Plants Committee and/or the Nomenclature Committee; or Note from the author: The Nomenclature Committee was abolished in 2007 and its tasks transferred to the Animals and Plants Committees. 402

406 Chapter 25 Committees iii) policy and operational and technical issues to be referred to the Chairman of the Standing Committee in the first instance, although the issue might ultimately require a working group or a decision of the Conference of the Parties to progress the issue. 4. The Chairman of the Standing Committee should consider the recommendations for referral to one of the CITES bodies. If the Chairman of the Standing Committee is in doubt regarding the referral, he should refer the issue back to the clearing-house for a more thorough analysis and a later submission to the next meeting of the Standing Committee for a final decision. 5. Issues referred by this process to a CITES body should be dealt with according to its practices and rules of procedure. For example, an ad hoc working group may be formed or the Secretariat may be requested to engage a consultant to address the issue. The Animals Committee and the Plants Committee Resolution Conf. 6.1 (Annex 2) established the Animals Committee in It was reestablished in 1994 with Annex 2 to Resolution Conf. 9.1(Rev.). The Conference of the Parties established a Plant Working Group at its fourth meeting in Resolution Conf. 6.1 (Annex 3) re-established it as the Plants Committee, repeated in 1994 with Resolution Conf. 9.1, which was revised in 1997 and replaced by Resolution Conf in The Animals and Plants Committees were again re-established with Annex 2 to Resolution Conf This is now Resolution Conf (Rev. CoP15). Decision 14.8 charged the Animals and Plants Committees to carry out internal monitoring through the regional reports and the reports of the chairmen of the scientific committees to the Conference of the Parties. Terms of Reference of the Animals Committee and the Plants Committee Annex 2 of Resolution Conf (Rev. CoP15) lays down these terms of reference, as follows: REALIZING the many problems faced by the Conference of the Parties and individual Parties concerning the lack of biological data and expert knowledge of animal and plant trade and management; RECOGNIZING that an effective method of evaluating whether a species is appropriately listed in the CITES Appendices requires a periodic review of its biological and trade status; RECOGNIZING the need to identify those Appendix-II species that are subject to levels of significant international trade and for which scientific information on the capacity of the 403

407 Chapter 25 Committees species to withstand such levels of trade is insufficient to satisfy the requirements of Article IV, paragraph 3, of the Convention; RECOGNIZING that the bulk of the world's biodiversity occurs in Africa, Asia, and Central and South America, and also that the majority of animal and plant species listed in the Appendices of the Convention are from these regions; AWARE that there are only three Parties in the North American region, but more than 40 in Africa, more than 25 in South and Central America and the Caribbean, and more than 20 in Asia, which, in addition, stretches from Israel in the west to Japan in the east; RECOGNIZING that the nomenclature used in the Appendices to the Convention will be most useful to the Parties if standardized; RECALLING that Recommendation Conf. S.S. 1.7, adopted at the special working session of the Conference of the Parties (Geneva, 1977), recognized the need for the standardization of the nomenclature used in the Appendices; NOTING that such biological nomenclature is not static; THE CONFERENCE OF THE PARTIES TO THE CONVENTION RESOLVES to re-establish the Animals and Plants Committees of the Conference of the Parties, with the following terms of reference: within the policy agreed to by the Conference of the Parties, the Animals and Plants Committees shall: a) provide scientific advice and guidance to the Conference of the Parties, the other committees, working groups and the Secretariat, on all matters relevant to international trade in animal and plant species included in the Appendices, which may include proposals to amend the Appendices; b) deal with nomenclatural issues by carrying on the following tasks: i) cause standardized nomenclatural references for animal and plant taxa, to the level of subspecies or botanical variety and including synonyms, to be prepared, or propose for adoption existing nomenclatural references, as appropriate, for all species listed in the Appendices to the Convention; ii) upon its acceptance of a new or updated reference (or part thereof) for a given taxon, after following the procedure described below, present this to the Conference of the Parties for adoption as the standard reference for that taxon; iii) ensure that the highest priorities in developing the standard reference lists of animal and plant names and synonyms be: 404

408 Chapter 25 Committees A. species names of animals and plants listed at the species level in the Appendices; B. generic names of animals and plants listed at the genus or family level in the Appendices; and C. family names of animals and plants listed at the family level in the Appendices; iv) review the existing Appendices with regard to the correct use of zoological and botanical nomenclature; v) upon request, provide advice to Parties concerning nomenclature issues related to proposals to amend the Appendices; vi) upon request from the Secretariat, review proposals to amend the Appendices to ensure that correct names for the species and other taxa in question are used; vii) ensure that changes in nomenclature recommended by a Party do not alter the scope of protection of the taxon concerned; and viii) make recommendations on nomenclature to the Conference of the Parties, other committees, working groups and the Secretariat; c) assist the Secretariat with the implementation of the Resolution on the Identification Manual and Decisions related to it and, upon request of the Secretariat, review proposals to amend the Appendices with regard to possible identification problems; d) cooperate with the Secretariat on the implementation of its Programme of work to assist Scientific Authorities; e) develop regional directories that list the botanists and zoologists in each region who are experts in CITES-listed species; f) establish a list of those taxa included in Appendix II that are considered as being significantly affected by trade, and review and assess all available biological and trade information including comments by the range States on these taxa to: i) exclude all species for which there is adequate information to conclude that trade is not having a significant detrimental effect on their populations; ii) formulate recommendations for remedial measures for those species for which trade is believed to be having a detrimental effect; and iii) establish priorities for projects to collect information for those species for which there is insufficient information available on which to base a judgment as to whether the level of trade is detrimental; 405

409 Chapter 25 Committees g) assess information on those species for which there is evidence of a change in the volume of trade or for which specific information is available to indicate the necessity for review; h) undertake a periodic review of animal or plant species included in the CITES Appendices by: i) establishing a schedule for reviewing the biological and trade status of these species; ii) identifying problems or potential problems concerning the biological status of species being traded; iii) consulting the Parties on the need to review specific species, working directly with the range States in the selection process, and seeking their assistance in such reviews; and iv) preparing and submitting amendment proposals resulting from the review, through the Depositary Government, for consideration at meetings of the Conference of the Parties; i) make available advice on management techniques and procedures for range States requesting such assistance; j) draft resolutions on scientific matters related to animals or plants, for consideration by the Conference of the Parties, with a budget for the work involved and an indication of the source of funding; k) perform any other functions that may be entrusted to them by the Conference of the Parties or the Standing Committee; and l) report to the Conference of the Parties and, if so requested, to the Standing Committee, on the activities they have carried out or supervised between meetings of the Conference; AGREES that in giving instructions to the Animals and Plants Committees, the Conference of the Parties should pay due attention to whether the nature of the work is within their mandate and whether the committees have the time and personnel to undertake such work. Membership of the Animals Committee and the Plants Committee Annex 2 of Resolution Conf (Rev. CoP15) determines the composition of the committees as follows: a) the membership of the Animals and Plants Committees shall consist of: 406

410 Chapter 25 Committees i) a person chosen by each of the major geographic regions consisting of North America and Oceania; ii) two persons chosen by each of the major geographic regions consisting of Africa, Asia, Central and South America and the Caribbean, and Europe; and iii) a specialist on zoological nomenclature (Animals Committee) and a specialist on botanical nomenclature (Plants Committee) appointed by the Conference of the Parties who would be ex-officio and non-voting; b) each person chosen as an alternate member for a member described in paragraph a) i) or ii), shall be represented at meetings as a regional member only in the absence of the member for whom he/she is the alternate; c) the membership of the Committees shall be reviewed at every regular meeting of the Conference of the Parties. The terms of office of the members shall commence at the close of the regular meeting at which they are elected and shall expire at the close of the second regular meeting thereafter; d) any Party shall be entitled to be represented at meetings of the Committees as an observer; e) a chair and a vice-chair shall be elected by the Committee. The Chair should be replaced in his/her role of regional member by his/her alternate. In the absence at a meeting of the alternate in question, the Chair shall serve also as regional member for his/her region on an ad hoc basis; and Decision 14.6 charged the Standing Committee in cooperation with the scientific committees and the Secretariat to develop a costed proposal to assess the costs, advantages and disadvantages of the provision of a chairman independent of regional duties and responsibilities, selected by the Conference of the Parties on a regional rotational basis. As a result, funding was included for Animals and Plants Committee chairs in the Costed Program of Work of the Secretariat, subject to voluntary contributions. f) the Chair may invite any person or representative of any other country or organization to participate in meetings of the Committee as an observer. 407

416 Chapter 25 Committees Representative Mr Greg Leach Department of Natural Resources, Environment and the Arts P.O. Box 496 PALMERSTON, NT 0831 Australia Mr Noel McGough Conventions and Policy Section The Herbarium Royal Botanic Gardens, Kew RICHMOND Surrey TW9 3AE United Kingdom Oceania Alternate Mr Marika Vuli Tuiwawa Curator, Herbarium University of South Pacific PO Box 2131 Government Buildings SUVA Fiji Nomenclature Specialist For up-to-date contact details, please visit the CITES website: Duties of members of the Animals Committee and Plants Committee and their alternates At the 12th meeting of the Conference of the Parties, the provisions from Decisions and on the duties of members of the committees were included in Resolution Conf (Rev.CoP12). Resolution Conf (Rev. CoP15) resolves that the duties of members elected by the regions of the Animals and Plants Committees and their alternates are as follows: a) each member should collaborate with his/her alternate regarding the work to be done between the meetings of the Committee; b) each member should maintain regular communication with the Parties in his/her region; c) when a region has more than one representative, the representatives should also agree which Parties each represents. Contact persons should be identified in those countries. Contact should also be established with non-parties in the region; d) each member should increase the awareness of the role and function of the Committee, its mandate and the issues of concern to his/her region through mechanisms such 413

417 Chapter 25 Committees as participation in seminars or in related meetings organized by the Secretariat and by other organizations at regional or sub-regional level; e) before the meetings of the Committee, the members should inform and consult the Parties in their regions about the agenda and in particular on matters specifically relevant to the countries of the region; f) the members should submit a written report, covering the preceding period, to each meeting of the Committee; g) the members should inform the Parties in their regions of the results of each meeting of the Committee; h) the members must inform the alternates well in advance if they will not attend a forthcoming Committee meeting; and i) the members should provide to their successors all relevant information on the activities in the region. The Conference of the Parties further resolves that the zoological and botanical nomenclature specialists of the Animals and Plants Committees shall coordinate, monitor and analyze the input needed from specialists in fulfilling the responsibilities assigned by the Parties. Travel expenses of regional members of the Animals Committee and Plants Committee Resolution Conf (Rev. CoP13), Annex 2, determines the following principles for the payment of travel expenses to regional members of the Plants or Animals Committee: a) the Secretariat shall make provisions in its budget for the payment, if requested, of reasonable and justifiable travel expenses of members, to attend no more than two meetings of the Committee concerned between meetings of the Conference of the Parties, other than for representatives of developed countries; This is in line with the provision in Resolution Conf with which it is decided that the CITES Trust Fund should not be used to cover travel costs and per diem of committee members and other representatives of developed countries b) the Secretariat shall also make provision for the participation of the Committees Chairs at meetings of the Standing Committee and at other meetings that the Chairs are instructed to attend by the Conference of the Parties; c) members should make every effort to pay their own travel expenses; and d) travel arrangements for sponsored members will be made by the Secretariat in accordance with the Rules and Regulations of the United Nations and, where applicable, 414

418 Chapter 25 Committees claims for refunds must be supported by receipts, and be submitted to the Secretariat within 30 days from the completion of the travel. Manual for regional representatives on the Animals and Plants Committees Decision instructed the Plants and Animals Committees to form a joint working group comprising two representatives of each Committee and an appointed chairman to develop a manual for regional representatives in 2005 that explains the roles and duties of the representatives, provides practical advice on how to accomplish the mandate, is applicable under different cultural conditions, and contains information for the Management and Scientific Authorities of Parties to explain the role and duties of regional representatives, and the relevant obligations by Parties towards regional representatives. External funding is to be sought for printing of the manual. In 2006, a joint meeting of the Animals and Plants Committees agreed the text of a manual, which led to: Decision 14.9 instructing the Secretariat, regarding the manual for regional representatives, contained in the Annex to document PC16/AC22 WG2 Doc. 1, to: a) seek funding for its translation, publication in the three working languages of the Convention and distribution; and b) when it has been tested by members of the scientific committees and updated accordingly, and funds are available, organize the publication and distribution of printed and electronic versions of the manual as capacity-building materials for regional representatives of the scientific committees. Production costs of publications prepared by the Animals and Plants Committees In Annex 2 to Resolution Conf (Rev. CoP13), the Conference of the Parties directs the Secretariat, to the extent possible, to provide funding from outside sources for the production costs of publications prepared by the Committees. Potential conflicts of interest of Animals and Plants Committee members Decision 15.9 instructs the Standing Committee, considering that members of the Animals and Plants Committees serve in a personal capacity, to review the need for the Rules of Procedure of those Committees to deal with potential conflicts of interest of its members relating to their activities in the Committees, and shall report on this matter at the 16th meeting of the Conference of the Parties. 415

419 Chapter 25 Committees The Identification Manual Committee of the Conference of the Parties (until 2000) Article XII.2, paragraph (c) provides that it shall be a function of the Secretariat to undertake scientific and technical studies concerning, among other things, the means of identifying specimens. Article XII.2, paragraph (f) provides for the periodic publication and distribution to the Parties of current editions of the Appendices together with any information which will facilitate identification of specimens of species included in those Appendices. On the basis of Recommendation Conf. S.S. 1.3 of the 1977 Special Working Session, the Secretariat with a Committee of Experts nominated for that purpose started the preparation of an Identification Manual. With Resolution Conf. 2.4 it was decided that a project proposal for the development and continuous updating of an identification manual be submitted to UNEP and the Secretariat was requested to execute such an approved project in consultation with the Committee of Experts nominated by the Parties. Resolution Conf. 3.10, on the review and harmonization of annual reports, recommended in paragraph d) that the Nomenclature Committee and the Identification Manual Committee provide guidance also on the appropriate classification of taxa and statistical data in the annual reports of the Parties. Resolution Conf extended the mandate of the Identification Manual Committee up to the fourth meeting of the Conference of the Parties, Resolution Conf up to the fifth meeting and Resolution Conf up to the sixth. All three Resolutions invited Parties proposing additions to the Appendices to provide appropriate data for inclusion in the Identification Manual within one year after acceptance of such additions and, more generally, to submit in consultation with the Committee appropriate contributions for existing listings on the Appendices. Resolution Conf. 5.17, in addition, requested the Parties to promote the use of the Identification Manual by enforcement officials and to report to the sixth meeting of the Conference of the Parties on the uses of the Manual which they had instigated and on its availability to competent authorities. The Secretariat was directed to, within its financial capacity, publish a French and Spanish version and organizations and parties were asked to provide funds to ensure the continuation of the work. Resolution Conf. 6.1, Annex 4, re-established the Identification Manual Committee and Annex 4 of Resolution Conf. 9.1(Rev.), considering that the accurate identification of specimens of species listed in the Appendices to the Convention is of critical importance in the effective enforcement of the Convention and appreciating that a standard work of reference is urgently needed for use by the Parties, does the same. 416

420 Chapter 25 Committees The Identification Manual Committee was abolished in 2000 with: Resolution Conf , which notes that the Identification Manual Committee was first established in 1977, and was one of the first committees serving the Parties to the Convention. The Conference of the Parties is grateful to all persons who have served this Committee, for the work they have done to develop the Identification Manual. It notes that between the sixth (Ottawa, 1987) and the 10th (Harare, 1997) meetings of the Conference of the Parties the Committee was without Chairman and membership. It notes further that following the 10th meeting of the Conference of the Parties (Harare, 1997) only one Party has expressed interest in appointing members of the Committee; It recognizes the need for a regular production of sheets for the Identification Manual in the three working languages of the Convention and that the work involved is not of a nature readily performed by a committee. The Conference of the Parties directs the Secretariat to: a) prepare sheets on the identification of animal and plant species for inclusion in the Identification Manual in the three working languages of the Convention; b) upon request from a Party, provide advice on the identification of species, or seek advice from experts on the taxa concerned; c) ensure, where relevant, that the subject of identification of species or specimens is included in training seminars organized by the Secretariat; d) provide assistance to Parties in the development of national or regional identification manuals; e) obtain, from Parties whose proposals to include new species in the Appendices have been adopted, appropriate data for inclusion in the Identification Manual within one year after acceptance of such additions; f) publish, within its financial capacity, the Identification Manual; The printed Identification Manual has become an electronic CITES Wiki Identification Manual, which, according to the CITES website, is a collection of data sheets designed to help identify various species of fauna and flora with drawings (black and white), photographs, maps and concise descriptions. It is a useful tool for CITES Management and Scientific Authorities, Customs officials, and all others involved in implementing and enforcing CITES. 417

421 Chapter 25 Committees The manual is accessible through the CITES website: US/Default.aspx Users, who wish to add identification content, or modify existing content, must first register, see: wcmc.org/identificationmanual/tabid/56/ctl/register/language/en- US/Default.aspx?returnurl=%2fIdentificationManual%2ftabid%2f56%2flanguage%2fen- US%2fDefault.aspx Once registered, the user can apply to be a Content Editor by sending a request by e- mail to the Identification Manual Administrator (mentioned on the page in the first hyperlink), with a brief indication of their areas of interest and expertise. Only information on identification characteristics can be added to, or modified. All additions/changes are subject to review before appearing in the Manual, and additions/changes will be attributed to the submitter. The Secretariat reserves the right to reject applications for content editing, and to reject additions and changes. g) inform each meeting of the Standing, Animals and Plants Committees on the progress made; and h) report at each meeting of the Conference of the Parties. It exhorts Parties having successfully submitted proposals to include new species in the Appendices, to provide appropriate data for inclusion in the Identification Manual within one year after acceptance of such additions. It appeals to Parties and organizations to provide funds to ensure the production of the Identification Manual; and requests the Parties to promote the use of the Identification Manual. The Nomenclature Committee of the Conference of the Parties (until 2004) Already in 1977 the Special Working Session recognized the need for the standardization of Appendices taxonomy (Recommendation Conf. S.S. 1.7). Resolution Conf. 6.1 reestablished the Nomenclature Committee and so did Annex 5 to Resolution Conf. 9.1(Rev.). The tasks of the Nomenclature Committee were transferred to the Animals and Plants Committees in Resolution CoP 11.1 (Rev. CoP15) provides that the Animals and Plants Committees shall deal with nomenclatural issues, see page

422 Chapter 26 - The Secretariat Article XII, paragraph 1 Upon entry into force of the present Convention, a Secretariat shall be provided by the Executive Director of the United Nations Environment Programme. To the extent and in the manner he considers appropriate, he may be assisted by suitable inter-governmental or non-governmental international or national agencies and bodies technically qualified in protection, conservation and management of wild fauna and flora. Article XII.1 must be read together with Article XI.3. (a). The use of the words upon the entry into force was in my view intended to provide for an operative Secretariat from the date of entry into force of the Convention onwards, a kind of temporary arrangement, which the Conference of the Parties under Article XI.3 (a) can change. Article XI.3 (a) empowers the Conference of the Parties to make provisions to enable the Secretariat to carry out its duties and Article XII.1 provides that the Executive Director of the United Nations Environment Programme (UNEP) shall provide a Secretariat upon the entry into force of the Convention. Article XII.1 further provides that the Executive Director of UNEP may be assisted by suitable inter-governmental or non-governmental international or national agencies and bodies technically qualified in protection, conservation and management of wild fauna and flora. The Governing Council of UNEP authorized the Executive Director of UNEP on 22 June 1973 (Decision 1(I)VIII) to provide Secretariat services for the implementation of CITES in accordance with its Article XII. UNEP contracted the International Union for Conservation of Nature and Natural Resources (IUCN) in April 1974 to perform the services of the Secretariat for an initial period of one year. Through extensions of the contract, IUCN performed the Secretariat services until 31 October At its first meeting in 1976, the Conference of the Parties adopted Resolution Conf. 1.8, which - in its Annex - noted that activity under the Convention had, so far, been relatively light but also that the increasing number of Parties, the probable need to use more official languages and the fact that the effectiveness of the Convention depended to a large extent upon the effectiveness of the Secretariat. In the Resolution itself, the Conference resolved that a strong Secretariat was essential to the proper implementation of

423 Chapter 26 The Secretariat the Convention, recognized with appreciation the contribution by UNEP but also that the Secretariat did not have adequate resources to deal with its increasing workload and to meet its full responsibilities under the Convention. It urged: (1) that the Executive Director of UNEP provide further Secretariat capabilities; and (2) that the Parties give strong support at the May 1977 meeting of the UNEP Governing Council for the question of a reinforced Secretariat to be considered by the Council as a matter of high priority. In response, the Governing Council of UNEP adopted Decision 86 (V) C on 25 May 1977, requesting the Executive Director of UNEP to provide further Secretariat capabilities based on the analyses presented in the above Resolution Conf In October 1977 the Special Working Session of the Conference of the Parties decided to request the assistance of the Executive Director of UNEP in further strengthening the Secretariat and in perfecting a means of providing an adequate and effective Secretariat for the implementation of the Convention. On 1 March 1978 the intention of the Executive Director of UNEP to enlarge the already established Secretariat with funds provided under the terms of a UNEP project was confirmed in a letter to the Parties. While stressing the catalytic role of the Fund of UNEP it was proposed to come to an agreed cost-sharing arrangement which was to include direct financial support by the Parties for the operation of the Secretariat and the convening of meetings of the Conference of the Parties. Agreement between the CITES Standing Committee and the Executive Director of UNEP. Negotiation history At its eighth meeting, in 1992, the Conference of the Parties adopted the text of an Agreement between the CITES Standing Committee and the Executive Director of UNEP, to clarify the relationship between CITES and UNEP. The agreement was signed in June A revised version of the agreement was adopted by the Conference at its 10th meeting, in This was signed in June It sets out the responsibilities of UNEP and the Standing Committee, particularly with regard to management of CITES Secretariat personnel issues and the management of the CITES Trust Fund. At the 46th meeting of the Standing Committee, in 2002, the Chairman and other members of the Committee expressed concern that UNEP was not complying with the Mem- 420

424 Chapter 26 The Secretariat orandum of Agreement. The Committee agreed that the Chairman should raise this issue with the Executive Director of UNEP. At the 47th meeting of the Standing Committee, also in the Chairman reported that, following his review of the Agreement, he recommended that it be revised to stress the need for the Executive Director to consult with the Committee before taking any action within his mandate and to reflect the responsibilities of the Secretary-General more accurately. He had prepared a draft of a new agreement. The Chairman of the Committee was requested to hold discussions with the Executive Director of UNEP on the draft concerned. At the 49th, 50th and 51st meetings of the Standing Committee, in April 2003, March 2004 and October 2004, the Chairman reported that the meeting he had requested with the Executive Director of UNEP had not taken place and that he had received no response from UNEP to the draft. For the Standing Committee s 53rd meeting, in June 2005, UNEP provided its own draft memorandum of agreement for consideration by the Standing Committee. During the discussion, participants stressed the need for UNEP to consult with the Standing Committee before taking actions that affect CITES, and in particular the Secretariat and the budget. With the agreement of the representative of UNEP, the Standing Committee adopted a number of amendments and agreed in principle to the resulting text of the agreement. It left some time, until 15 August 2005, for comments by Parties. None were received and the Committee adopted the text. At the 54 th meeting of the Standing Committee, in October 2006, the Chairman The Chairman reported on the activities that he had undertaken to progress towards the signature of a Memorandum of Agreement with the Executive Director of UNEP. The representative of UNEP stated that the new Executive Director was committed to addressing this issue in the context of the United Nations reform objectives and the review of effectiveness and synergies currently being undertaken by the UN Joint Inspection Unit. But he asked for more time while this review was going on. The Committee agreed that the Chairman should write to the Executive Director to agree to the request to allow more time and to ask that the Committee be kept informed of progress through the Secretary-General. At the 57 th meeting, in July 2008, it was recalled that the Committee had negotiated a new Memorandum of Agreement with UNEP two years previously in good faith, that it had been signed by the Chairman of the Standing Committee, but that it appeared that the Executive Director was unwilling to sign. It was noted that he seemed to communicate with the Standing Committee only by proxy. At the 58 th meeting, in July 2009,, the representative of UNEP informed the Standing Committee that the review of the agreement with the Executive Director of UNEP needed to take place in the context of UNEP's broader administrative reform, and explained the accountability framework and system for delegation of authority that would 421

425 Chapter 26 The Secretariat be tested on a number of multilateral environmental agreements in The plan was to apply this also to CITES before the end of The representative of UNEP further stated that the accountability framework was needed in order to hold the executive heads of the multilateral agreements accountable to UNEP for performance of their duties. He said that the Executive Director (ED) wished to discuss the agreement between UNEP and the Standing Committee at its 59th meeting (SC59), in March Before that meeting, the ED would discuss this issue with the Chair of the Standing Committee. The ED would therefore not sign the revised agreement in the meantime, but it was understood that the Memorandum of 1997 remained in force. Members of the Committee noted that UNEP's accountability framework and delegation of authority was an internal matter, quite separate from the agreement between the Executive Director and the Standing Committee, which should not take second place. At the 59 th meeting, the one preceding CoP 15, in March 2010, the The Executive Director of UNEP stated that he had agreed to report to the Committee on the relationship between UNEP and CITES. He explained that the UNEP management team was developing a procedure for the delegation of authority for all Multilateral Environmental Agreement (MEA) secretariats to enable them to work without having to always refer back to UNEP headquarters. It would supersede any prior arrangements between UNEP and CITES. He reported that a draft delegation of authority between the Executive Director of UNEP and the Secretary-General of CITES had been developed with the objective of ensuring high-level secretariat services and to clarify the Secretary-General's authority, responsibility and accountability. The draft delegation of authority had been sent to the Chair of the Standing Committee in February 2010 for review. The Executive Director proposed that a working group, that could include two or three members of the Standing Committee, meet in June 2010, to consider the way forward for CITES and UNEP. Members of the Standing Committee expressed support for the formation of the working group and the proposed accountability framework. However, several Parties expressed serious concern that neither they nor other Parties had seen the draft accountability framework. One member pointed out that CITES was not a part of UNEP. They disagreed with the view that it was not necessary to have a separate agreement between the Executive Director and the Standing Committee and stressed that such an 422

426 Chapter 26 The Secretariat agreement could not be replaced by the delegation of authority, which was an internal arrangement between the Executive Director and one of his staff members. It was felt that this subject, as well as the present long-standing agreement between the Committee and the Executive Director, might benefit from discussion by the working group. Some Committee members believed that the membership of the proposed working group should cover all CITES regions. Switzerland, as the Depositary Government, were eager to work with UNEP's Executive Director but noted that CITES had a long history and therefore a different architecture compared to more recent MEA s. To date, no working group meeting has been convened. Current Agreement CONSCIOUS of the need to maintain flexibility and adaptability in the management of the CITES Secretariat and in the provision of services to the Parties to the Convention; AWARE that the responsibilities and functions of the Standing Committee and the Executive Director of the United Nations Environment Programme (UNEP) with regard to the implementation of Articles XI and XII of the Convention need to be clarified; RECOGNIZING that the decisions of the Conference of the Parties shall guide the implementation of CITES and management of its Secretariat; DESIRING to further improve the relationship between CITES and UNEP; and RECOGNIZING that the 37th meeting of the Standing Committee recommended that the Agreement between the Standing Committee and the Executive Director of UNEP, signed in June 1992, be revised; The CITES Standing Committee and the Executive Director of UNEP agree as follows: Basic principles 1. The Executive Director will act in conformity with the provisions of Articles XI and XII of the Convention and the rules and regulations of the United Nations on these and other functions as may be entrusted to the Secretariat by the Parties. The Executive Director shall ensure that the Secretary General implements the policy guidance of the Conference of the Parties and, between the meetings of the Conference of the Parties, the policy guidance of the Standing Committee in exercising the functions of the Secretariat in accordance with Articles XI and XII of the Convention, and other functions as may be entrusted to the Secretariat by the Parties. 423

427 Chapter 26 The Secretariat 2. The Executive Director will inform the Standing Committee in advance of any significant action with respect to the Secretariat which may affect the interests of the Parties or the efficient administration of the Convention, and will consider carefully the views the Standing Committee presented to him/her on such actions. 3. Where consultations between the Executive Director and the Standing Committee are required under this agreement, they shall be conducted through the Chairperson of the Committee who shall seek the views of the members and reflect these in his or her reply. On specific issues, the Chairperson may designate another member of the Standing Committee to conduct such consultations. Personnel management 4. Personnel selection All personnel selection shall be performed expeditiously by UNEP and the Secretary General. The aim should be to ensure that any vacancies occurring among the senior professional staff should be filled by replacements on fixed term appointments within 6 months. Any unforeseen delays in filling senior posts shall be explained in writing to the Chairperson of the Standing Committee, as representative of the Parties, upon his/her written request. All vacancy announcements shall be drafted carefully and in conformity with UN rules, and UN shall ensure its circulation to all the Parties. All selection panels for posts at the Secretariat shall be convened in accordance with United Nations rules and regulations. Only candidates with the requisite knowledge, experience, and expertise shall be considered for posts at the CITES Secretariat. For senior posts, the Executive Director, or his/her designated official (Secretary General), shall consult with the Standing Committee in establishing selection panels, as appropriate (note: In accordance with UN staff rules and regulations, selection panels for all posts are established by the Executive Director, who has delegated this authority to the Secretary General). 5. Selection of the Secretary General The Secretary General (the Chief Officer of the Secretariat of the Convention) shall be appointed by the Executive Director of UNEP in accordance with the United Nations personnel rules, and after consulting with the Standing Committee. The consultation will be such that every effort will be made to appoint a Secretary General acceptable to the Standing Committee, while recognizing that the United Nations personnel rules will govern the appointment. 6. Selection of other staff Other staff members will also be appointed under the United Nations personnel rules, which provide for consultation with the Secretary General. The consultation will be such that every effort will be made to appoint candidates the Secretary General considers acceptable for the effective conduct of the business of the Secretariat. 424

428 Chapter 26 The Secretariat 7. The appointment of individuals to posts in the Secretariat financed by Governments other institutions over and above their normal contributions to the CITES Trust Fund (e.g., secondments) will be confirmed through the applicable appointment process of the United Nations Environment Programme, and will be subject to the terms of an agreement negotiated between the originating Government agency and UNEP. 8. Performance of the Secretary-General In appraising the performance of the Secretary General, the Executive Director will provide the Standing Committee with the applicable performance appraisal criteria. On an annual basis, the Standing Committee will submit its comments to the Executive Director on the performance of the Secretary General. The Executive Director will reflect these comments in his/her performance evaluation of the Secretary General. The Executive Director will consult with the Standing Committee on issues of concern to him/her in the performance of the Secretary General. The Executive Director will extend or discontinue the contract of the Secretary General after consultation with the Standing Committee. 9. Performance of other personnel The evaluation of the performance of the incumbents of all other posts shall be in accordance with the applicable Staff Rules of the United Nations, which provide for the full participation of the supervisors of the Secretariat. Financial management 10. Budget Oversight and Execution The Standing Committee oversees on behalf of the Parties the development and execution of the Secretariat budget as derived from the Trust Fund and other sources. The Executive Director will be guided by the specific Resolutions established by each meeting of the Conference of the Parties with respect to matters related to the financing and budgeting of the Secretariat taking into account the availability of resources. The Executive Director shall consult with the Standing Committee before taking actions or implementing decisions which cause an unforeseen change in the budget of the Secretariat. 11. To assist the Standing Committee in fulfilling its responsibilities, the Executive Director shall ensure that a report is submitted to each meeting of the Committee showing details of the expenditure for each of the years of the triennium in question which a) has been allocated by the Conference of the Parties, b) which is projected or committed, and c) has been incurred. The reports should allow year on year comparison with the final year of the preceding triennium and show the amount of unspent balance held in the Trust Fund. In the year preceding a Conference of the Parties the Executive Director shall additionally provide the Standing Committee with detailed expenditure proposals for the next biennium identifying priorities and the scope for savings, including those from increased efficiency. This information shall be included in the report as indicated in paragraph 16 of this Agreement. 425

429 Chapter 26 The Secretariat 12. Administrative support charge Recognizing the current process within UNEP in collaboration with the United Nations to determine an adequate mechanism to report administrative support cost, as called for in UNEP Governing Council Decision 19/248, UNEP will provide to the Parties as detailed an accounting as possible of services provided to CITES with the understanding that the level of detail will be consistent with the needs of the Parties. This information shall be included in the report as indicated in paragraph 16 of this Agreement. Progress on the implementation of this paragraph will be assessed at the 42nd meeting of the Standing Committee. 13. Externally financed projects Proposals for externally financed projects shall be submitted in the established format to the Standing Committee which has the authority to approve proposals. Upon approval by the Standing Committee, the CITES Secretariat then discusses the proposal with the implementing body and finalizes the document with the assistance of the UNEP Programme Support Unit in Geneva. The requisite project document shall then be signed by the Secretary General of CITES, the relevant implementing body and UNEP. UNEP will give authorization to commit resources for the project subject to the actual receipt of the externally provided finance in the CITES account. Any changes in the current practice of administering these projects will be subject to negotiations between the Executive Director and the Standing Committee. 14. Location and custody of the Trust Fund In accordance with Rule 8.1 of the Financial Rules and Regulations of the United Nations, the Controller, in consultation with UNEP and the CITES Secretary General, has designated a bank in Geneva in which the CITES Trust Fund shall be located. The Annual reports of the United Nations auditors on the management and investment of the Trust Fund account shall be provided to the CITES Standing Committee, for transmission to all CITES Parties. Management review 15. UNEP, in consultation with the Standing Committee or at its request, may as appropriate commission an independent management review of services provided by the CITES Secretariat, in the interest of promoting cost efficiency, transparency, and furthering the goals of the Convention. UNEP shall keep the Committee fully informed about any such reviews which are undertaken. 426

430 Chapter 26 The Secretariat Periodic review 16. UNEP report UNEP shall submit an annual report on its provision of and support to the Secretariat, including the implementation of this agreement, and the administration of the Secretariat for consideration at each meeting of the Standing Committee and meetings of the Conference of the Parties. In the event that the Standing Committee meets more than once a year, the required information, in particular that set out in paragraph 11, will be updated accordingly. This report will be utilized by the Standing Committee and UNEP to monitor and enhance the implementation of this Agreement. 17. Revision of this agreement This agreement may, at the request of either party to it, be reviewed at any time. Such a request shall be made at least four months in advance, and shall then be addressed at the next meeting of the Standing Committee or the next meeting of the Conference of the Parties, whichever comes first. The functions of the Secretariat Article XII, paragraph 2 The functions of the Secretariat shall be: (a) to arrange for and service meetings of the Parties; (b) to perform the functions entrusted to it under the provisions of Articles XV and XVI of the present Convention; (c) to undertake scientific and technical studies in accordance with programs authorized by the conference of the Parties as will contribute to the implementation of the present Convention, including studies concerning standards for appropriate preparation and shipment of living specimens and the means of identifying specimens; (d) to study the reports of Parties and to request from Parties such further information with respect thereto as it deems necessary to ensure implementation of the present Convention; This concerns, but it not limited to, the annual and biennial reports of Parties under Article VIII. (e) to invite the attention of the Parties to any matter pertaining to the aims of the present Convention; 427

431 Chapter 26 The Secretariat (f) to publish periodically and distribute to the Parties current editions of Appendices I, II and III together with any information which will facilitate identification of specimens of species included in those Appendices; Resolution Conf (Rev. CoP15) directs the Secretariat to publish changed Appendix- I, -II and -III together after each meeting of the Conference of the Parties (from Resolution Conf. 7.15), or at other times when warranted. The Identification Manual is an ongoing project of the Secretariat, which has developed into an electronic CITES Wiki Identification Manual, see page 417. (g) to prepare annual reports to the Parties on its work and on the implementation of the present Convention and such other reports as meetings of the Parties may request; The Secretariat publishes annual reports, submits reports on specific activities to meetings of the Standing Committee and to meetings of the Conference of the Parties. The Secretariat, assisted by UNEP/WCMC, further prepares reports (analyses) on the annual reports on trade submitted by the Parties in compliance with Article VIII (7). 428

432 Chapter 26 The Secretariat (h) to make recommendations for the implementation of the aims and provisions of the present Convention, including the exchange of information, of a scientific or technical nature; (i) to perform any other function as may be entrusted to it by the Parties. Article XIII on International measures contains a further important function of the Secretariat, namely with regard to non-implementation of the Convention. The provisions concerned are discussed in Chapter 16, page

433

434 Chapter 27 - Effects of the Convention on National Legislation Stricter domestic measures Article XIV, paragraph 1 The provisions of the present Convention shall in no way affect the right of Parties to adopt: (a) stricter domestic measures regarding the conditions for trade, taking possession or transport of specimens of species included in Appendices I, II and III, or the complete prohibition thereof; or Taking possession of specimens of CITES-listed species is not an activity that is covered by the provisions of the Convention. Measures of Parties regarding their possession are therefore, like the measures referred to in paragraph (b), of specimens, not to be considered as measures that are stricter than the Convention. The provision of Article XIV.1. (a) confirms the right of the Parties to the Convention to go further than the Convention by the adoption of stricter measures concerning the species listed in its Appendices. Many Parties have taken such measures, both with regard to indigenous and exotic species. A great many Resolutions adopted by the Parties either recognize the possibility for Parties to take stricter measures or call for measures that go further than the provisions of the Convention. Many of these are implicitly directed at importing countries, although not all. See Resolutions Conf (Rev.), 4.22, 6.7, 10.3, (Rev. CoP15), (Rev. CoP14), 10.20, 10.23, 11.3, (Rev. CoP15), 11.18, 12.3 (Rev. CoP15), 13.6, 13.7 (Rev. CoP14) and Decision for valid recommendations. Repealed Resolutions Conf. 3.12, 5.11, 7.8 and 8.5 also contained references to stricter domestic or national measures (b) domestic measures restricting or prohibiting trade, taking possession, or transport of species not included in Appendices I, II or III.

435 Chapter 27 Effects of the Convention on National Legislation This paragraph contains a minor error as it should have referred to the transport of specimens of species Decision (Rev. CoP15) states that Parties with stricter domestic measures and reservations should review them, as and when appropriate, in order to determine whether they are effective and necessary in order to achieve the objectives of the Convention to ensure that trade in wild fauna and flora species is not detrimental to their survival. Decision (Rev. CoP15) provides that the Standing Committee shall continue the Working Group on Multilateral Measures, established at its 57th meeting, which, operating by electronic means, should: a) review and, if necessary, revise any consultancy report produced under Decision (Rev. CoP15); b) organize, with the help of the Secretariat, a meeting with representation from all CITES regions to discuss the above report; and c) based on the report of the meeting mentioned above, consider the need to draft for consideration at the 16th meeting of the Conference of the Parties any revised or new resolutions. Decision (Rev. CoP15) instructs the Secretariat to, if external funds are made available for the purpose: a) hire a consultant to prepare a report on ways to assess whether: i) the Resolutions of the Conference of the Parties are implemented by all Parties as consistently as possible and whether there is a need to clarify, revise or repeal them; and ii) the scope for multilateral CITES processes that reduce the need by Parties for recourse to stricter domestic measures and reservations should be further developed; and b) assist the Standing Committee in organizing the meeting mentioned in Decision (Rev. CoP15). Resolution Conf. 6.7 deals with the interpretation of Article XIV, paragraph 1. The Conference of the Parties expresses its awareness that international cooperation is fundamental to achieving the objectives of the Convention. It recognizes the concern of some Parties that stricter domestic measures taken pursuant to Article XIV, paragraph 1, of the Convention may have an adverse impact on the conservation status of the species concerned in their countries of origin. It believes that any difficulties that arise with respect to the adoption of stricter domestic measures can be resolved by mutual consultation and cooperation. 432

436 Chapter 27 Effects of the Convention on National Legislation It recommends that: a) each Party intending to take stricter domestic measures pursuant to Article XIV, paragraph 1, of the Convention regarding trade in specimens of non-indigenous species included in the Appendices make every reasonable effort to notify the range States of the species concerned at as early a stage as possible prior to the adoption of such measures, and consult with those range States that express a wish to confer on the matter; and b) each Party that has taken such stricter domestic measures for non-indigenous species prior to the adoption of this Resolution consult, if requested, on the appropriateness of such measures with range States of the species concerned. The limitation of these recommendations to non-indigenous species is not very helpful. In the case of species with a large area of distribution, for example, there are countries on the edge of that area that have protected populations and trade prohibitions. In other parts of the range, the species may be abundant and commercially exploited. For countries in the latter situation, it is then useful to have a complete picture of what market restrictions there are abroad. Resolution Conf (Rev. CoP15), under section I, paragraph r), recommends that each Party inform the other Parties, direct or through the Secretariat, of any stricter internal measures it has taken under Article XIV, paragraph 1 (a), of the Convention, and that, when a Party is informed of this, it refrain from issuing permits and certificates that run counter to these measures. This recommendation contains one of the three variations used in Resolutions on the issue: stricter domestic measures, stricter national measures and here stricter internal measures. The same recommendation was contained in paragraph q) of Resolution Conf. 8.5 which was based on paragraph f) of Resolution Conf. 3.6, which recommended Parties to communicate to the Secretariat information relating to stricter domestic measures in accordance with Article XIV, paragraph 1 (a), of the Convention, which may affect the legality of imports, exports or re-exports. It requested the Secretariat to disseminate that information to other Parties with a view to ensuring effective implementation in the context of Article XIII of the Convention. Several Parties experienced difficulties in following up Resolution Conf Secretariat notifications about export prohibitions for example proved to have insufficient inherent probative value before courts of law in importing countries. Having a copy of relevant measures and other authenticating information was believed to ameliorate this situation, for which reason: Resolution Conf on Proof of Foreign Law recommends that: a) Parties informing the Secretariat of the existence, adoption or amendment of stricter domestic measures provide the Secretariat with a copy of the laws, regulations, decrees, and other documents establishing such measures, any interpretation and other infor- 433

437 Chapter 27 Effects of the Convention on National Legislation mation which may be of assistance in understanding such measures, citations to such laws, regulations, decrees, and other documents, and the name, address, telephone and fax numbers, and address of the government organization and official responsible for implementing such measures; and b) Parties informing the Secretariat of the invalidity, deficiency or special requirements of permits and certificates do so in a signed statement containing the name, address, telephone and fax numbers, and address of the government agency and official responsible for granting the relevant permits and certificates. The Secretariat is requested to attach copies of the information submitted by the Parties mentioned in paragraphs a) and b) to the relevant notifications it circulates to the Parties. Resolution Conf (Rev. CoP15) on the implementation of the Convention for timber species recommends that: h) Parties consider any possible deleterious conservation and trade impacts before they impose stricter domestic measures on trade in timber specimens of species included in Appendix II or III. 434

438 Chapter 28 - Relationship with other Conventions, Treaties, Agreements and Organizations Article XIV, paragraph 2 The provisions of the present Convention shall in no way affect the provisions of any domestic measures or the obligations of Parties deriving from any treaty, convention, or international agreement relating to other aspects of trade, taking possession, or transport of specimens which is in force or subsequently may enter into force for any Party including any measure pertaining to the customs, public health, veterinary or plant quarantine fields. Paragraph 2 of Article XIV confirms that the Convention shall not affect domestic measures taken or to be taken by Parties for other than conservation purposes, such as those pertaining to the customs, public health, veterinary or plant quarantine fields. The Convention further does not affect measures in these fields taken or to be taken by Parties under obligations deriving from treaties, conventions or international agreements. The International Whaling Commission In 1979, Resolution Conf. 2.9 already recommended that the Parties agree not to issue any import or export permit, or certificate for introduction from the sea for primarily commercial purposes for any specimen of a species or stock protected from commercial whaling by the IWC. Parties recommended: In 1981, with Resolution Conf. 3.13, the Conference of the a) that Parties pay particular attention to the documentation requirements for specimens of cetaceans under Articles IV and XIV; and b) that Parties give urgent consideration to Resolution Conf. 2.7 (Rev.) calling on those Parties which do not currently adhere to the International Convention for the Regulation of Whaling to do so.

439 Chapter 28 Relationship with other Conventions, Treaties, Agreements and Organizations In 1994, the Conference of the Parties adopted Resolution Conf on illegal trade in whale meat in which it expressed concern about continuing international reports of the discovery of whale meat and products appearing for sale in, or en route to importing countries, from no plausible existing source and that the international trade in meat and other products of whales is lacking adequate international monitoring or control. It noted that some unknown level of exploitation of whales may be occurring outside the control of the International Whaling Commission (IWC). It recognized that the IWC is the major source of information on whale stocks around the world and the need for the IWC and CITES to cooperate and exchange information on international trade in whale products. The Conference of the Parties affirmed its concern that any illegal international trade in Appendix I whale specimens undermined the effectiveness of both the IWC and CITES and, while welcoming the work of the IWC in this respect, urged CITES Parties to explore the issue of illegal trade in whale meat and the geographic origin of such meat and to cooperate with the CITES Secretariat in the collection of such information. It encouraged the IWC to keep CITES Parties fully informed through the CITES Secretariat and the Standing Committee between meetings of the Conference of the Parties on all related developments regarding the illegal trade in whale products. The Resolution invited all countries concerned to cooperate to prevent illegal trade in whale meat, and to report to the CITES Secretariat on any development regarding this issue. The Secretariat was directed to share with the IWC any information it collected regarding illegal trade in whale meat. In 2000, all earlier Resolutions on the conservation of cetaceans, trade in cetacean specimens and the relationship with the International Whaling Commission were consolidated. At the 12th meeting of the Conference of the Parties, a number of paragraphs - previously contained in Decisions - were added to the Resolution. The result is Resolution Conf (Rev. CoP12), which recalls the determination of the Contracting States that international cooperation is essential for the protection of certain species of wild fauna and flora against over-exploitation through international trade. It considers that, for marine species, Article XV, paragraph 2 (b), of the Convention requires the Secretariat to consult inter-governmental bodies having a function in relation to those species. It notes that, in accordance with the recommendations of the special working session of the Conference of the Parties (Geneva, 1977), the Secretariat has requested and obtained observer status, and adviser status for trade matters, at meetings of the International Whaling Commission (IWC) and at meetings of the Scientific Committee of the IWC. 436

440 Chapter 28 Relationship with other Conventions, Treaties, Agreements and Organizations It notes further that the IWC has requested and obtained observer status at meetings of the Conference of the Parties. It recognizes that Article III, paragraph 5, and Article IV, paragraph 6, of the Convention prohibit the transportation into a party State of specimens (including any readily recognizable parts or derivative thereof) of any species listed in Appendix I or II to the Convention that were taken in the marine environment not under the jurisdiction of any States without prior grant of a certificate from a Management Authority of the State of introduction. It recognizes that the jurisdiction of the Parties with respect to marine resources in their adjacent seas is not uniform in extent, varies in nature and has not yet been agreed internationally. It desires that the maximum protection possible under this Convention be afforded to the cetaceans listed in the Appendices. The Conference of the Parties considers that the International Whaling Commission has asked for the support of the Parties in protecting certain stocks and species of whales. It is mindful of the need for special attention to the conservation of whales and other cetaceans. It recalls that commercial utilization has caused the rapid depletion of many species and stocks of large whales once they become the focus of exploitation and has resulted in a threat to the survival of a number of these species and stocks. It observes that any commercial utilization of species and stocks protected by the IWC jeopardizes their continued existence, and that trade in specimens of these species and stocks must be subject to particularly strict regulation in order not to endanger further their survival. It recognizes that although these species and stocks of whales are protected from commercial whaling by nationals of IWC member nations, they are commercially harvested by nationals of non-iwc member nations and that such harvesting circumvents and diminishes the effectiveness of the protective regime of the IWC and threatens to prevent the recovery of those protected species and stocks. It notes that some unknown level of exploitation of whales may be occurring outside the control of the IWC. It recalls also that the great whales have not generally recovered from the depletion brought about by commercial exploitation, even though many other species of exploited wildlife have recovered from equal or greater degrees of depletion. 437

441 Chapter 28 Relationship with other Conventions, Treaties, Agreements and Organizations It notes that the IWC has taken increasingly vigorous action to provide for the effective conservation and management of whales which are of interest to all nations of the world by establishing limits on the number of whales that may be taken by nationals of its member nations. It notes that the IWC has established regulations that protect certain species and stocks from all commercial whaling by nationals of its member nations in order to provide them with protection and the opportunity to recover from over-exploitation. It welcomes the Resolution passed by the IWC at its Special Meeting in December 1978 requesting that the Conference of the Parties to the Convention, at its second meeting, take all possible measures to support the IWC ban on commercial whaling for certain species and stocks of whales. The Conference of the Parties expresses concern about continuing international reports of the discovery of whale meat and products appearing for sale in, or en route to importing countries, from no plausible existing source and that the international trade in meat and other products of whales is lacking adequate international monitoring or control. It recognizes that the IWC is the major source of information on whale stocks around the world, that the meat and other products of such protected species of whales are subject to international trade which cannot be controlled effectively by the IWC alone and that the need for the IWC and CITES to cooperate and exchange information on international trade in whale products. It affirms its concern that any illegal international trade in Appendix-I whale specimens undermines the effectiveness of both the IWC and CITES. The Conference of the Parties recommends: Adhesion to the International Convention for the Regulation of Whaling that those Parties that do not currently adhere to the International Convention for the Regulation of Whaling be encouraged to do so; Trade in specimens of cetaceans that Parties pay particular attention to the documentation requirements for specimens of cetaceans under Articles IV and XIV of CITES; Trade in specimens of certain species and stocks of whales protected by the IWC from commercial whaling that the Parties agree not to issue any import or export permit, or certificate for introduction from the sea, under this Convention for primarily commercial purposes for any 438

442 Chapter 28 Relationship with other Conventions, Treaties, Agreements and Organizations specimen of a species or stock protected from commercial whaling by the International Convention for the Regulation of Whaling; and requests that the Secretariat communicate to the Parties a list of such species and stocks and revised versions of this list as necessary; Illegal trade in whale meat welcomes the work of the IWC in this respect and URGES CITES Parties to explore the issue of illegal trade in whale meat and the geographic origin of meat apparently illegally traded and to cooperate with the CITES Secretariat in the collection of information on this subject; encourages the IWC to keep CITES Parties fully informed through the CITES Secretariat and the Standing Committee between meetings of the Conference of the Parties on all related developments regarding the illegal trade in whale products; invites all countries concerned to cooperate to prevent illegal trade in whale meat, and to report to the CITES Secretariat on any development regarding this issue; and directs the Secretariat to share with the IWC any information it collects regarding illegal trade in whale meat; and Cooperation in monitoring illegal trade in whale parts and derivatives encourages all countries concerned to voluntarily: a) inventory all frozen whale parts and derivatives possessed in commercial quantities, indicating the species, quantity and geographic origin; and b) collect and inventory skin or meat samples for DNA identification from all such frozen whale specimens; recommends that all countries concerned collect and inventory skin or meat samples for DNA identification from baleen whales: a) taken in a directed harvest; b) taken in aboriginal subsistence hunts; and 439

443 Chapter 28 Relationship with other Conventions, Treaties, Agreements and Organizations c) taken incidentally to other fishing operations, and if any specimens from these whales will be entered into commerce; invites all countries concerned to cooperate in determining sources of whale parts and derivatives, and the species concerned, in cases of smuggling, by: a) where assistance is requested, providing skin or meat samples or digitized DNA sequencing to countries that have the capability to determine species and geographic origin of the animal, or to confirm the initial analysis; b) analyzing the samples provided by the country that has collected them, and fully consulting it regarding the results of the analysis before releasing them to other Parties or to the public; and c) obtaining and issuing necessary CITES documentation for export and import of the samples for analysis; and urges every country concerned to submit to the CITES Secretariat any information relevant to its inventory of whale parts and derivatives and to examination of unknown whale products, for dissemination by the Secretariat to interested Parties upon request. Decision instructs the Animals Committee that no periodic review of any great whale during IWC moratorium, including the fin whale, should occur while the moratorium by the International Whaling Commission is in place. The Convention on Biological Diversity (CBD) A Convention that was concluded more recently and that is of direct relevance to the aims of CITES, is the Convention on Biological Diversity. With Resolution Conf (Rev. CoP14) on Co-operation and Synergy with the Convention on Biological Diversity, the Conference of the Parties welcomes decision III/21 of the Conference of the Parties to the Convention on Biological Diversity, which endorsed the Memorandum of Understanding between the CITES Secretariat and the Secretariat of the Convention on Biological Diversity. It expresses appreciation for the cooperation and cordial relationship that has been developed between the two Secretariats. It further expresses awareness of the fact that decision III/21 of the Conference of the Parties to the Convention on Biological Diversity invites the governing bodies of biological-diversity-related conventions to consider the possible contributions of those conventions to the implementation of the objectives of the Convention on Biological Diversity, and to share experience with the Conference of the Parties on, inter alia, successful management practices. 440

444 Chapter 28 Relationship with other Conventions, Treaties, Agreements and Organizations It recalls that the Conference of the Parties to the Convention on Biological Diversity has invited contracting Parties to relevant biological-diversity-related conventions to explore opportunities for accessing funding through the Global Environment Facility for relevant projects involving a number of countries, which fulfill the eligibility criteria and guidance provided by the Conference of the Parties to the Convention on Biological Diversity to the Global Environment Facility. It recalls also Chapter 38 of Agenda 21 and welcoming decision 19/9c of the Governing Council of UNEP which recognizes the importance of the Program s role in promoting and supporting cooperation and coordination with and amongst environmental agreements and their secretariats and requests the Conference of the Parties of the relevant conventions to encourage their respective convention secretariats to engage and continue to participate actively in the coordination process. The Conference of the Parties notes the proposal to explore the revival of the Ecosystem Conservation Group, which would meet within the context of UNEP s meetings on coordination of Secretariats of environmental conventions and recognizes that UNEP should undertake such tasks in full cooperation with the Conference of the Parties. It calls upon the CITES Secretariat and the Secretariat of the Convention on Biological Diversity to coordinate their Programme activities particularly through the UNEP coordination meetings and suggests that Parties, as appropriate to their national circumstances and to encourage synergy, take measures to achieve coordination and reduce duplication of activities between their national authorities for each Convention. It also calls upon Parties to explore opportunities for obtaining funding through the Global Environment Facility for relevant projects, including multilateral projects, which fulfill the eligibility criteria and guidance provided by the Conference of the Parties to the Convention on Biological Diversity to the Global Environment Facility. It recommends that the Secretariat investigate opportunities whereby CITES can become a partner in the implementation of appropriate provisions of the Convention on Biological Diversity. It finally directs the Chairman of the Standing Committee to transmit to the Conference of the Parties to the Convention on Biological Diversity this and other relevant Resolutions and Decisions adopted at the 10th and all future meetings of the Conference of the Parties. The 11th meeting of the Conference of the Parties endorsed a series of practical proposals from the Secretariat with regard to cooperation and applied synergy with the Convention on Biological Diversity and other biodiversity-related Conventions (Document Doc ). Decisions 13.2 to 13.5 contained directives for the Standing Committee and the Secretariat to explore the so-called Vilm-report when looking at the issue of synergies between CITES and CBD. 441

445 Chapter 28 Relationship with other Conventions, Treaties, Agreements and Organizations The MoU with CBD can be found on the Secretariat website: and an amendment on: Resolution Conf (Rev. CoP14), together with Decisions 13.6 and 13.7, link the CBD's Addis Ababa Principles and Guidelines for the Sustainable Use of Biodiversity to CITES implementation. Decision 13.8 provided that the Plants Committee should link its activities and collaborate with the CBD Global Strategy for Plant Conservation. Decision extends this by instructing the Plants Committee to collaborate with the Global Strategy for Plant Conservation (GSPC) of the Convention on Biological Diversity (CBD, and with any processes established to develop the Strategy beyond 2010, provided it is related to CITES, as well as on other issues related to flora species included in the CITES Appendices. The Secretariat is directed to communicate the contributions of CITES in the context of its Memorandum of Understanding with the CBD Secretariat. Resolution Conf calls upon the Secretariat to collaborate with the Secretariat of the Convention on Biological Diversity in relation to the conservation of great apes, in particular developing measures relating to in situ conservation and to make recommendations relevant to CITES to the Standing Committee for consideration. The Convention on the Conservation of Migratory Species of Wild Animals, CMS Resolution Conf confirms Decisions 12.5 and 12.6 on the cooperation and synergy with CMS. It expresses appreciation of the cooperation and cordial relationship that have developed between the Secretariats of CITES and CMS and directs the Standing Committee to keep under regular review the Memorandum of Understanding concluded between the Secretariats of CITES and CMS on 18 September 2002, in particular with a view to: a) seeking reports from the CITES Secretariat on steps taken to implement a more detailed work Programme to be developed jointly with CMS; and 442

446 Chapter 28 Relationship with other Conventions, Treaties, Agreements and Organizations b) ensuring that CITES initiatives in respect of the following species or taxonomic groups complement, reinforce and, as far as possible, benefit from the regional collaboration already being undertaken or envisaged in the framework of CMS: i) the saiga antelope (Saiga tatarica), the snow leopard (Uncia uncia) and the west and central African populations of the African elephant (Loxodonta africana); ii) marine turtles of the Atlantic coast of Africa, the Indian Ocean, Southeast Asia and the Pacific Ocean; iii) the whale shark (Rhincodon typus) of south and Southeast Asia, as well as the great white shark (Carcharodon carcharias); and iv) sturgeons (Acipenseriformes); and Each of the above taxonomic groups has its chapter in this book: the saiga antelope is dealt with in Chapter 49, the marine turtles in Chapter 53, sharks in Chapter 54 and sturgeons in Chapter 56. The MoU with CMS is on the Secretariat s website: and a new Annex on: The Conference of the Parties directs the Secretariat, in keeping with the spirit of the above-mentioned Memorandum of Understanding, to extend invitations to CMS and its related Agreements to participate in meetings pertaining to species and issues of common concern. The Commission for the Conservation of Antarctic Marine Living Resources THE CONFERENCE OF THE PARTIES The cooperation with CCAMLR in relation to toothfish is the subject of Resolution Conf. 12.4, which reads as follows: RECOGNIZING that international cooperation is essential for the protection of certain species of wild fauna and flora and prevention of overexploitation and other adverse effects that can be caused by international trade; CONSCIOUS of the importance of oceans for the earth s ecosystem and of the obligation of all States to protect and preserve the marine environment and its resources; 443

447 Chapter 28 Relationship with other Conventions, Treaties, Agreements and Organizations RECALLING that Article XV, paragraph 2 (b), of the Convention, provides that the Secretariat, as regards marine species, shall consult with intergovernmental organizations having a function in relation to those species; RECOGNIZING that several organizations and regional agreements in the field of fisheries are adopting conservation measures that include guidelines for the certification of the origin of capture for species whose recovery and sustainable use they wish to promote and that for the success of these efforts it is important that all States, including those that are not members of or parties to those organizations or agreements, cooperate with these conservation measures and implement them; KEEPING IN MIND that the Commission for the Conservation of Antarctic Marine Living Resources (CCAMLR) has adopted an action plan that includes, together with measures for preventing and eliminating excessive fishing, others aimed at ensuring transparency of international trade in the species that it regulates, especially the Patagonian toothfish and Antarctic toothfish (Dissostichus spp.) in order that that trade does not affect the sustainable development of fishing nor the responsible use of Antarctic marine living resources; TAKING NOTE that CCAMLR promotes cooperation with specific organizations and with any other organization that contributes to the work of that Commission and its Scientific Committee in aspects related to the protection of the Antarctic marine ecosystem; CONCERNED that illicit, unregulated and unreported fishing activities threaten to harm the populations of several fish species, including those of the Patagonian toothfish and Antarctic toothfish, and urging all countries to cooperate with international efforts to eradicate illicit, unregulated and unreported fishing; TAKING NOTE that CCAMLR has established regulations on commercial exploitation of all Antarctic marine living resources, especially the Patagonian toothfish and Antarctic toothfish, for all member States in order to prevent fishing from reaching levels of overexploitation; FURTHER NOTING that CCAMLR, at its 21st meeting, urged CITES Parties to require a document under the CCAMLR Catch Documentation Scheme for all toothfish imports as well as agreeing that further cooperation with CITES would be welcome; ALSO RECOGNIZING the need for CCAMLR and CITES to cooperate closely, both for the exchange of information concerning international trade in products of the Patagonian toothfish and Antarctic toothfish, and in their efforts to ensure that international trade in these species is carried out with the utmost legality, rigour and transparency; CONCERNED that illicit international trade in specimens of species regulated by CCAMLR undermines the effectiveness of CCAMLR and the principles of CITES; 444

448 Chapter 28 Relationship with other Conventions, Treaties, Agreements and Organizations URGING the Parties to CITES to use all measures within their power to ensure that ships flying their flag are not used to undermine conservation measures adopted by CCAMLR or adopted voluntarily outside the scope of that Convention by countries in whose jurisdictional waters specimens of Dissostichus spp. are captured; THE CONFERENCE OF THE PARTIES TO THE CONVENTION International trade in toothfish Illicit trade in toothfish products RECOMMENDS that, regarding these species, the Parties adopt the Dissostichus Catch Document used by CCAMLR for Dissostichus spp. and implement requirements for verification in all cases where specimens of these species are introduced into or exported from or transit through the territory under their jurisdiction; WELCOMES WITH SATISFACTION the work of CCAMLR in combating illicit, unregulated and unreported fishing and urges the Parties to CITES to study carefully the question of trade in specimens of Patagonian toothfish and Antarctic toothfish, especially their geographic origin, and to cooperate with the Secretariat of CCAMLR in gathering information in this regard; ENCOURAGES CCAMLR to maintain a permanent flow of information to the Parties to CITES through the Conference of the Parties and requests that the Secretariat in turn transmit to the Secretariat of CCAMLR any information available on illicit trade in these species; and INVITES all interested countries, the United Nations Food and Agriculture Organization (FAO) and other intergovernmental or international organizations active in this field to cooperate in efforts to prevent illicit trade in these species and transmit any relevant information to the Secretariat of CCAMLR; and Adhesion to the Convention for the Conservation of Antarctic Marine Living Resources RECOMMENDS to the Parties that capture toothfish or that trade in toothfish products, and which have not yet done so, to adhere to the Convention for the Conservation of Antarctic Marine Living Resources and, in any case, to cooperate voluntarily with its conservation measures. At CoP13, the Parties rejected a proposal from Australia to amend the Resolution with a view to extend the reporting system on trade in toothfish (non-cites listed species) that 445

449 Chapter 28 Relationship with other Conventions, Treaties, Agreements and Organizations was introduced through Decisions of CoP12. The decisions concerned were also repealed. The Food and Agriculture Organization of the United Nations (FAO) Decision 12.7 (Rev. CoP13) concerned the cooperation with the Food and Agriculture Organization of the United Nations (FAO). It provided that, on the basis of the recognition by the Conference of the Parties of the primary role of FAO and regional fisheries management organizations in fisheries management and the role of CITES in regulating international trade, the Standing Committee shall work with FAO in the drafting of a Memorandum of Understanding (MoU) between CITES and FAO, to establish a framework for cooperation. The following terms of reference were to guide the Standing Committee in carrying out this work: a) elaborate provisions regarding future FAO involvement in the scientific evaluation of proposals for including exploited aquatic species in the Appendices or for downlisting them (see Appendix F of the Report of COFI: FTVIII); b) cooperate with respect to capacity building in developing countries, in particular efforts centered on fisheries law enforcement activities of mutual interest; c) append to the MoU annexes consisting of work plans listing issues of common interest to both organizations, including those found in Appendix F of the Report of COFI: FTVIII; and d) report on work completed under the MoU at each meeting of the Conference of the Parties to CITES and the FAO Committee on Fisheries. Decision charged the Secretariat to initiate discussions with the Food and Agriculture Organization of the United Nations (FAO) on how cooperation between the two organizations related to forestry and non-timber forest products might be enhanced. Decision instructed the Secretariat to report at the 15th meeting of the Conference of the Parties on those discussions and on the progress made in implementing the Memorandum of Understanding between FAO and the CITES Secretariat. The Memorandum of Understanding can be found on the CITES website: 446

450 Chapter 28 Relationship with other Conventions, Treaties, Agreements and Organizations Decision instructs the Standing Committee to analyze the current Memorandum of Understanding (MoU) between CITES and FAO, determine the cooperative scheme between CITES and FAO on forestry issues, and ensure that future cooperation between FAO and CITES is carried out under the framework of the MoU. ICPO Interpol The Secretariat works very closely with ICPO Interpol on enforcement matters as the many Resolutions and Decisions on the issue show. The MoU concerned can be found here: World Customs Organization Customs officers being the frontline CITES implementers, it is not surprising that the Secretariat has a long-standing collaboration with WCO. As in the case of Interpol, all enforcement-related Resolutions and Decisions mention WCO as a partner. The MoU concerned is on The International Tropical Timber Organization (ITTO) In 2007, the Conference of the Parties adopted Resolution Conf on cooperation between CITES and ITTO regarding trade in tropical timber. The Resolution reads as follows: RECOGNIZING that CITES aims to ensure the protection of certain species of wild fauna and flora against over-exploitation through international trade. ALSO RECOGNIZING that CITES can play a positive role in promoting the conservation of timber species through trade in accordance with the requirements of Articles III, IV and V of the Convention; FURTHER RECOGNIZING that the objectives of the International Tropical Timber Agreement (ITTA), 1994, include providing an effective forum for consultation, international cooperation and policy development with regard to all relevant aspects of the world timber economy and promoting trade in tropical timber from sustainable sources; 447

451 Chapter 28 Relationship with other Conventions, Treaties, Agreements and Organizations NOTING the important role that the International Tropical Timber Organization (ITTO) has played and continues to play with respect to international trade in tropical timber species; WELCOMING the increase in cooperation between CITES and ITTO and especially the support provided by ITTO for meetings of the Bigleaf Mahogany (Swietenia macrophylla) Working Group, the International Experts Workshop on Non-detriment Findings for Bigleaf Mahogany, the Expert Meeting on the Effective Implementation of the Uplisting of Ramin (Gonystylus spp.) to Appendix II of CITES, as well as the assistance provided by ITTO to its members to enhance their capacity to implement CITES listings of tropical timber species; WELCOMING the ITTO project to support capacity building in range States for the implementation of CITES timber listings for Gonystylus spp., Pericopsis elata and Swietenia macrophylla as an important tool for increased cooperation between CITES and ITTO; ALSO WELCOMING the successful conclusion to the negotiation of a successor agreement to the International Tropical Timber Agreement, 1994; THE CONFERENCE OF THE PARTIES TO THE CONVENTION URGES Parties that are also party to ITTA, 1994, or its successor agreement, and that intend to submit proposals for listing of tropical timber species, to consult ITTO as part of the consultation process recommended in Resolution Conf (Rev. CoP15) on Implementation of the Convention for timber species; RECOMMENDS that CITES Parties that are also party to ITTA, 1994, or its successor agreement, bring to the attention of the International Tropical Timber Council any concerns regarding the effects of international trade on tropical timber species; WELCOMES the work of ITTO in promoting transparent markets, trade in tropical timber from sustainably managed tropical forests and, in that context, promoting forest law enforcement; ENCOURAGES Parties to support and facilitate the work of ITTO and CITES to build increased capacity and improve implementation of CITES timber listings; URGES Parties to support and contribute to work, guided by the CITES Plants Committee, to develop appropriate listing proposals based on the best available science to ensure the conservation of timber species and help ensure that trade does not threaten their survival; DIRECTS the CITES Secretariat to cooperate closely with the Secretariat of ITTO on matters related to tropical timber species threatened by international trade and sustainable management of tropical timber producing forests; and 448

452 Chapter 28 Relationship with other Conventions, Treaties, Agreements and Organizations ENCOURAGES all Parties, CITES, ITTO and other relevant intergovernmental organizations to promote improved forest law enforcement. The Biodiversity Indicators Partnership, BIP Decision instructs the Secretariat to continue to provide its services as a key indicator partner in the Biodiversity Indicators Partnership, consulting the Animals, Plants and Standing Committees where necessary, and shall report on its work in this regard at the 16th meeting of the Conference of the Parties. Intergovernmental Science-Policy Platform on Biodiversity and Ecosystem Services (IPBES) Decision instructs the Chairs of the Animals and Plants Committees and the Secretariat, without taking a position about the necessity for, or nature of, such a Platform, to, subject to external funding, participate in discussions concerning a possible IP- BES, to provide all necessary input into the process of IPBES and to ensure that the role of CITES receives due recognition. The Chairs of the Animals and Plants Committees and the Secretariat shall report to the Standing Committee to seek additional guidance. Decision instructs the Secretariat to work with the United Nations Environment Programme to identify possible sources of external funding to support the participation called for in Decision Decision instructs the Standing Committee to report at the 16th meeting of the Conference of the Parties concerning the IPBES. The Lusaka Agreement Task Force The Lusaka Agreement did not get the expected number of Parties in the African region, but works from time to time successfully on illicit wildlife trade cases. The Secretariat has an MoU with the Task Force, which can be found here: 449

453 Chapter 28 Relationship with other Conventions, Treaties, Agreements and Organizations U.S. Fish And Wildlife Service Office Of Law Enforcement/Clark R. Bavin National Fish & Wildlife Forensic Laboratory The National Fish and Wildlife Forensics Laboratory is located in Ashland, Oregon, United States. Founded in 1988 and run by the United States Fish and Wildlife Service, the forensics laboratory is the only such laboratory in the world devoted to wildlife law enforcement. An MoU with the CITES Secretariat (http://www.cites.org/common/disc/sec/cites-usfws.pdf ) makes the forensics laboratory an official crime lab for CITES. I have known Clark, the late Chief of the U.S. Fish and Wildlife Service's Office of Law Enforcement, personally during my time at the European Commission and I remember him as a very dedicated protector of nature. I also remember vividly, how we discussed my draft of what became Resolution Conf on the difficult subject of pre-convention specimens in Buenos Aires in To be honest, I did not like the way in which he wanted to change my paragraph h) into the opposite of what I had in mind. I wanted Appendix-II specimens to be always treated in accordance with the rules applying to them at the time of acquisition rather than the rules applying after an uplisting to Appendix I, which was his idea. He won, see page 215. CITES and wildlife were better off with Clark around. He died far too early, in 1990 at the age of 53. The Laboratory received the 2010 Clark R. Bavin Award from the Animal Welfare Institute. This is from their website: United States Office of Law Enforcement agents and U.S. Department of Justice attorneys responsible for the successful completion of Operation Central -- Operation Central was involved in an international investigation of the illegal trafficking in the parts and products of sea turtles and other skins from Mexico to the United States and of sea turtle shells and products into the United States from China. The Mexican investigation focused on suppliers, manufacturers, wholesalers, retailers, and the smugglers involved in the illegal transaction of 800 skins of sea turtles, caimans, pythons, and other protected species, 150 boots, and other products. In September 2007, suspects were arrested in the United States with coordinated enforcement activities in Mexico. Operation Central revealed the smuggling of more than $1 million worth of sea turtle parts and products into the United States from the two countries and many of those involved have served jail 450

454 Chapter 28 Relationship with other Conventions, Treaties, Agreements and Organizations time with ongoing prosecutions of others. Operation Central stands as the largest probe ever of the unlawful commercial exploitation of sea turtles and was the product of extraordinary efforts by a team of skilled individuals. TRAFFIC International One of the closest partners of CITES is the TRAFFIC network created by IUCN and WWF. The current Memorandum of Understanding can be found on the Secretariat s website: 451

455

456 Chapter 29 - Regional Trade Agreements Article XIV, paragraph 3 The provisions of the present Convention shall in no way affect the provisions of, or the obligations deriving from, any treaty, convention or international agreement concluded or which may be concluded between States creating a union or regional trade agreement establishing or maintaining a common external customs control and removing customs control between the parties thereto in so far as they relate to trade among the States members of that union agreement. Where customs controls between the members of a customs union have been removed and replaced by a common external customs control or where countries have created a single market, the Convention s provisions with regard to the control of permits and certificates cannot be implemented between them. In the absence of CITES documents it is also impossible to report on internal trade. Resolution Conf. 6.5 (Rev.) nevertheless requested that, in view of its abolition of internal border controls, it urgently establish full means of Community supervision of its legislation by means of an adequately staffed Community inspectorate and recommended that it monitor the movement of CITES specimens within and between Member States in accordance with the mechanisms foreseen in EEC Council Regulation No. 3626/82 and by use of existing forms available under Community legislation. Resolution Conf. 8.2 (Rev.), amended at the ninth and repealed at the 12th meeting of the Conference of the Parties, referred to the fact that in 1993 the European Community terminated controls between member countries and that consequently any specimen that entered one of the countries of the Community was allowed free circulation within the Community. It considered that the Community was one of the most important regions with respect to trade in CITES species and that a weak implementation of the Convention opened this important market to the trade in CITES specimens of illegal origin. It further recognized that some Community countries did not have adequate national leg-

457 Chapter 29 - Regional Trade Agreements islation to ensure the correct implementation of the Convention, particularly with regard to the requirements of Article VIII, and that some Community countries issued re-from ort certificates without taking the necessary measures to ascertain the validity of the documents issued by the countries of origin, and that the potential re-exports might legalize goods of illegal origin. This situation was considered serious both in general terms and in particular in the case of live animals and of reptile skins and parts thereof. The Resolution urged the Community Member States that are Parties to the Convention to complete the development of appropriate legislation and to increase substantially the allotment of resources required to ensure the enforcement of the Convention and to provide the international community the necessary assurance regarding compliance with the agreements in force. It further urged the Community Member State not Party to CITES (i.e. Ireland) to ratify the Convention as soon as possible. Until the 9th meeting of the Conference of the Parties, Resolution Conf. 8.2 recommended that before accepting a re-export document covering live animals, or reptile skins and parts thereof, issued by a state member of the Community, Parties check with the Management Authority of the declared country of origin or with the Secretariat the validity of the export document and, in cases where the country of origin has been contacted directly, the Secretariat be notified immediately by the Management Authorities of the countries of origin and of import of the existence of any invalid documents. The Secretariat was requested to evaluate the efficiency of controls and their effective implementation with respect to CITES specimens that are either imported into or reexported from the EEC, and report to the ninth meeting of the Conference of the Parties in the context of the review of alleged infractions. It recommended that Parties that had not yet done so accept the Gaborone amendment. At the ninth meeting of the Conference of the Parties, these recommendations were repealed on the basis of the Secretariat s report and the Secretariat was directed to write to the Parties which have not yet accepted the amendment to the text of the Convention adopted in Gaborone in 1983 to do so as soon as possible. In spite of the clear provisions of Article XIV.3, Resolution Conf (Rev. CoP14) repeats the recommendation of Resolutions 9.4 (Rev.) and its predecessor Conf. 5.5 that each Party to the Convention, if a member of a regional trade agreement within the meaning of Article XIV.3, include in its annual reports information on trade in specimens of species included in Appendices-I, -II and -III with other member States of that regional trade agreement, unless the record-keeping and reporting duties of Article VIII are in direct and irreconcilable conflict with the provisions of the regional trade agreement. This is certainly the case of the European Union with its common implementation of CITES controls. An amendment to Article XXI of the Convention will, after its entry into force, allow regional economic integration organizations to accede to the Convention, see Chapter 33, page

458 Chapter 30 - Special Treatment of Marine Species Article XIV, paragraphs 4 and 5 4. A State Party to the present Convention, which is also a Party to any other treaty, convention or international agreement which is in force at the time of the coming into force of the present Convention and under the provisions of which protection is afforded to marine species included in Appendix II, shall be relieved of the obligation imposed on it under the provisions of the present Convention with respect to trade in specimens of species included in Appendix II that are taken by ships registered in that State and in accordance with the provisions of such other treaty, convention or international agreement. 5. Notwithstanding the provisions of Articles III, IV and V, any export of a specimen taken in accordance with paragraph 4 of this Article shall only require a certificate from a Management Authority of the State of introduction to the effect that the specimen was taken in accordance with the provisions of the other treaty, convention or international agreement in question. As Article XIV.4 specifically refers to any other treaty, convention or international agreement which was in force at the time of the coming into force of CITES, this provision only applies to treaties, conventions and international agreements which were in force on 1 July 1975 and not to those which entered into force thereafter. A Convention, older than CITES and affording protection to Appendix-II marine species is the 1946 International Convention for the Regulation of Whaling, see Chapter 28. All cetaceans regulated by that Convention, however, have meanwhile been included in Appendix I of CITES as commercial whaling is subject to zero quotas under the Whaling Convention (IWC).

459 Chapter 30 Special Treatment of Marine Species At its ninth, 10th, 11th, 12th and 13th meetings, the Conference of the Parties confirmed that cetacean species subject to zero quotas under the International Convention for the Regulation of Whaling should be listed in Appendix I. The 1966 Convention for the conservation of the resources of tuna and tuna-like fishes of the Atlantic Ocean, which entered into force in 1969, is another convention preceding CITES, which would make CITES trade in Atlantic tuna fall under the above provisions. It establishes an International Commission on the Conservation of Atlantic Tuna (ICCAT). Article XIV.5 extends the exemption of Article XIV.4 with regard to the introduction from the sea to the export of specimens taken in accordance with Article XIV.4. The export permit, normally required under Article IV.2 is replaced by a certificate to the effect that the specimens were taken in accordance with the provisions of the other international agreement. In information document 45 for CoP15, the Secretariat concluded that: One of the concerns about the application of Article XIV, paragraphs 4 and 5, seems to stem from the language which states that Parties shall be relieved of the obligations imposed on it under the provisions of the present Convention with respect to trade in specimens of species included in Appendix II. It is correct that application of this Article would mean that the trade provisions of Article IV would not apply, namely the permit or certificate, non-detriment and legal acquisition requirements. However, a Party would apparently still be required to implement other relevant provisions of the Convention such as those on reporting (where applicable) and enforcement which are found in Article VIII. Article XIV.5 contains one of the mistakes already identified in 1976, when Resolution Conf. 1.5 invited the Secretariat to take note of them and it recommended that they be put on the agenda of the first extraordinary meeting of the Conference of the Parties for amendment. Instead of Notwithstanding the provisions of Articles III, IV and V..., Article XIV, paragraph 5 should read Notwithstanding the provisions of Article IV..., as Article XIV.4 only refers to specimens of Appendix-II species. At the ninth meeting of the Conference of the Parties it was decided (Decision 9.26) to put a proposal for a relevant amendment of the Convention on the agenda of the next extraordinary meeting of the Conference of the Parties, whenever this may be convened. This is now covered by Resolution Conf. 4.6 (Rev. CoP15), which directs the Secretariat to put the following proposal on the agenda of the next extraordinary meeting of the Conference of the Parties, whenever this may be convened, as amendments to the Convention: b) paragraph 5 of Article XIV should read: Notwithstanding the provisions of Article IV, any export of a specimen etc. 456